Kevin M. Flynn & Associates
Kevin M. Flynn & Associates

Recent Examples of Financial Services Litigation Experience

 

  • Representing a mutual fund manager in an SEC investigation and related class action litigation seeking $70 Million in alleged fund losses
  • Successful defense of traders in Federal criminal prosecution alleging commodities fraud in propane trading
  • Defense of futures commission merchant in CFTC civil enforcement action alleging fraud in connection with foreign exchange trading
  • Successful prosecution and defense of customer and member-member arbitration claims before the NASD, NYSE, NFA, CBOT, CBOE and AAA involving allegations of churning, suitability, improper portfolio management, fraud and a wide variety of exchange-floor and electronic-trading misconduct
  • Prosecution of a multi-million dollar “raiding” claim on behalf of a regional broker-dealer

 

  • Defense of a registered representative in parallel disciplinary proceedings alleging violations of Federal currency transaction reporting regulations
  • Defense of a bank president in an FDIC investigation alleging improper lending practices

 

  • Defense of claims against outside directors of banks taken over by the FDIC for undercapitalization

 

  • Defense of the Chief Financial Officer and board member of an issuer in a federal criminal investigation and a shareholder class action alleging fraud in an initial public offering

 

  • Defense of Federal civil forfeiture actions against registered representatives and purchasers of the initial public stock offering of a Federal Savings and Loan conversion

 

  • Defense of multiple individuals in an SEC investigation involving internet marketing of securities

 

  • Defense of private investors, registered representatives and broker-dealers in SEC investigations involving allegations of insider trading

 

  • Defense of “raiding” and related trade secret claims brought by Merrill Lynch against a regional broker-dealer

 

  • Prosecution and defense of claims based upon restrictive covenants and non-competes involving members of senior management in major banks, broker-dealers, law and accounting firms

 

  • Defense of a co-managing underwriter and directors in initial and secondary stock offerings in shareholder class action suits alleging fraud in offering materials

 

  • Defense of a registered broker-dealer’s trading department supervisor in a disciplinary action brought by the New York Stock Exchange alleging aiding and abetting wash and matched sales

 

  • Defense of Chicago Board of Trade T-bond traders in an exchange investigation and a CFTC enforcement action alleging unlawful “Ginzy” trading

 

  • Defense of a major stock exchange in an SEC investigation involving allegations of fraud in connection with certain clearing services 

 

Contact Us

Kevin M. Flynn & Associates

190 S. LaSalle

Suite 3850

Chicago, IL 60603

 

Phone: (312) 456-0240 (312) 456-0240

Fax: (312) 630-9233

Email: kevin@kmflynnlaw.com

 

Or use our contact form.

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