From the earliest blue sky laws to the current regulatory landscape, Chapman attorneys continue to be on the frontline of securities enforcement and litigationSince the firm’s founding, Chapman attorneys have been representing clients facing legal challenges involving complex financial instruments, including sophisticated asset-backed securitizations, portfolio acquisitions, swaps and derivatives, and other debt and investment financing vehicles. Our Litigation Group is routinely called upon to resolve difficult matters arising from a wide range of securities laws and regulations, both in governmental investigations and inquiries and in private transaction-based disputes.

Arbitration and Litigation. Chapman has represented a wide range of financial institutions and individuals in securities fraud matters in state and federal courts, as well as arbitration panels before the AAA, FINRA, and the CME.

Enforcement Proceedings. Chapman represents clients responding to inquiries, investigations, and enforcement proceedings by securities industry regulatory bodies, including the SEC, FINRA, NYSE, MSRB, and CME.


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