Financial Industry Litigation

The attorneys at CASTAYBERT PLLC have considerable experience handling financial industry litigation, including broker-dealer and banking matters.  They have represented individual and corporate investors, as well as major institutional clients, in a wide variety of banking and financial cases, both as attorneys for investor plaintiffs and for institutional defendants.  We also represent employees and institutions in the securities, banking and financial industry, with respect to related employment and professional liability matters.

SECURITIES AND INVESTMENT MANAGEMENT

CASTAYBERT PLLC’s principal attorney has represented corporate directors and officers under federal securities acts and state securities law. The firm represents non-party witnesses in connection with depositions, document subpoenas, and other matters related to securities litigation.

FINRA ARBITRATIONS

CASTAYBERT PLLC will represent investors, retail, and institutional customers in FINRA arbitrations in connection with suitability claims and employees and financial institutions in employment-related claims.  CASTAYBERT PLLC also has experience with U-5 expungement matters.

VALUATION-RELATED CLAIMS

CASTAYBERT PLLC has represented valuation consultants in disputes concerning the valuation of businesses and other assets.  The firm’s principal attorney has experience working with valuation experts (both as witnesses and parties) and knowledge of the legal and contractual standards governing such disputes.

FRAUD-RELATED CLAIMS

CASTAYBERT PLLC often represents individuals and financial institutions in litigation involving allegations of fraud by bank customers, third-parties and bank employees, claims against parties responsible for defrauding financial institutions, including customers and third-parties (for example fraudulent loans and checks).  The firm’s principal attorney has had significant experience dealing with claims against banks for negligence, commercial bad faith, and aiding and abetting breach of fiduciary duty and fraud.

MARGIN CALL LITIGATION

The lawyers at CASTAYBERT PLLC have represented important investors and customers of major financial institutions concerning margin calls under the industry standard ISDA Master Agreement and Global Master Securities Lending Agreement and applicable Margin Agreements, Prime Brokerage Agreements and compliance manuals.

INVESTMENT BANKING FEE DISPUTES

CASTAYBERT PLLC has represented financial and other advisory firms in a variety of disputes concerning  fees  governed by introducing, marketing, management and other fee agreements.

BANK ACCOUNTS

The firm’s lawyers have defended depository banks in connection with claims involving wrongfully deposited checks and negotiable instruments, bank deposits and collections, under the pertinent articles of the Uniform Commercial Code and against claims of breach of the customer account opening documents, negligence, unjust enrichment, constructive trust and matters raising claims of money laundering and implicating the Financial Institutions Reform, Recovery and Enforcement Act.

INDENTURE TRUSTEE AND SECURITIZATION LITIGATION

The firm’s trial lawyers have represented a variety of financial institutions in their capacity as indenture trustee, servicer, as well depository banks.  In that connection, the firm’s lawyers have defended a securitization trustee against claims of negligence and fraud.

SUBPOENA COMPLIANCE

The lawyers at CASTAYBERT PLLC have significant experience representing financial and other institutions in connection with civil and investigatory subpoenas touching on a wide variety of areas in the financial services industry.  The firm’s litigators have been called on to separately represent individual third parties and former employees who are asked to provide documents or deposition and trial testimony as part of complex banking and financial litigations between financial institutions or in connection with investigations by government agencies.