León Cosgrove

Securities Litigation and Regulation

Leon Cosgrove lawyers represent financial institutions, registered investment advisors, trust companies, and clearing firms in all aspects of securities litigation and regulatory matters. We have handled hundreds of disputes, both customer-initiated and intra-industry, for some of the largest financial institutions in the United States.

Our attorneys regularly appear before arbitration panels, state and federal courts, and regulatory bodies throughout the nation. These cases typically involve allegations regarding suitability, misrepresentation and fraud, unauthorized trading, churning, product failures, failure to supervise, selling away, and variable annuity and mutual fund sales practices. Our attorneys also handle intra-industry promissory note claims, as well as issues relating to the expungement of disclosures for individual registered representatives from the FINRA Central Registration Depository.

Our attorneys also have substantial experience and routinely defend individuals and firms in regulatory investigations and proceedings by the Securities and Exchange Commission, FINRA, and state regulators.

We generally provide advice on a broad range of matters that are vital to broker-dealers and pertain to businesses dealing in the securities markets. We counsel broker-dealers, banks, insurance companies, and investment advisers on various legal, regulatory, and compliance issues.