For more than 26 years, CFI has been providing a range of services for financial services industry clients involving data analyses, compliance and regulatory consulting, and litigation support services, These firms include broker-dealers, banks, insurance companies and RIAs, as well as Fortune 500 companies and legal counsel. CFI also provides damages analyses and forensic accounting services.
CFI has established a reputation for working closely with clients to achieve a successful resolution of internal and external regulatory reviews, provide detailed compliance consulting and remediation services, expert testimony in arbitrations and Regulatory inquiries, and litigation support. Our experts include former Regulators, Chief Compliance Officers, Senior Legal Counselors, Retail and Institutional Executives, Trust Company Officers and Product Managers and Leaders.
Jenks & Harvey LLP is involved in various aspects of securities arbitration and litigation, broker-dealer compliance, regulatory and enforcement defense, registration matters, and representation of registered persons in retail and employment matters.
Founded In 1979 by seven lawyers from a premier Los Angeles firm, less than 40 years later, Lewis Brisbois Bisgaard & Smith LLP (Lewis Brisbois), an AMLAW 100 firm, has grown to more than 1,200 attorneys in 42 offices in 26 states, and dedicates itself to a high-achieving and diverse law firm culture focused on client service in more than 50 legal practice areas for clients of all sizes in every major industry. Lewis Brisbois has built longstanding relationships with corporate and institutional clients based on our ability to provide comprehensive service on a national scale.
Murphy & McGonigle, founded in 2010, was created based on an innovative law firm model that rigorously controls overhead while providing its attorneys and clients with state-of-the-art technology and litigation support to ensure both world-class service and maximum cost-efficiency. In the years since the financial crisis, that model has become increasingly attractive for clients in the financial services industry which has driven the rapid growth of the law firm.
For the fifth year in a row, U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. This year, we were honored in Securities Regulation, Litigation – Securities, and Corporate Law. Only 25 firms received National Tier One recognition in all three areas with Murphy & McGonigle as the youngest and smallest firm among those 25 listed, by far.
Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges.
John Ivan is a highly respected securities industry attorney and compliance professional who has led both compliance and legal departments for major financial institutions, with a focus on wealth management, brokerage and advisory issues.
Most recently, he served as Chief Compliance Officer for Raymond James & Associates, Inc., the full-service retail and capital markets broker-dealer based in St Petersburg, Florida, and also was head of Compliance for all of Raymond James’ retail and dual registrant businesses. Prior to that, he was Managing Director at Bank of America Merrill Lynch covering Compliance for its Global Wealth and Retirement Services products and services business. Previously, he was General Counsel and Chief Compliance Officer for Janney Montgomery Scott LLC, in Philadelphia.
John also served in senior compliance and legal roles at Goldman Sachs in New York, and at Wells Fargo Advisors’ predecessor firms in Richmond, Virginia. He began his career at the United States Securities and Exchange Commission. He is a graduate of University of Virginia and University of Richmond Law School.
Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.
Clint A. Corrie is a partner in the Dallas office of Lewis Brisbois. He focuses his practice primarily in complex commercial litigation, with an emphasis on banking, securities litigation, and arbitrations before FINRA panels. He represents broker-dealers, investment advisers, wealth management advisers, hedge funds and private equity firms and their professionals in a wide range of securities matters including sales practices, customer complaints, suitability and supervisory claims, regulatory inquiries, investigations, and FINRA and SEC enforcement proceedings. Mr. Corrie is also experienced in professional liability matters and coverage involving financial institution bonds. He has represented national banks and credit unions in litigation between financial institutions, involving syndicated loans and participations.
Heather Middleton focuses her practice on defending Wall Street brokerage firms and their employees in FINRA arbitrations, civil court matters, regulatory inquiries and government investigations. Recent cases have included disputes between firms and their employees, customer complaints, trading desk and market access violations, research department issues and a broad range of related sales practice issues. Prior to practicing law, Ms. Middleton worked at Merrill Lynch for more than 10 years where she gained invaluable experience with trading, portfolio management, various investment vehicles, branch operations and securities regulations. Heather is admitted to practice in New York and New Jersey. She handles community service and charitable giving efforts in Murphy & McGonigle’s New York office.