At Maynard Nexsen, we provide a comprehensive range of legal services to a diverse and extensive client base, including numerous Fortune 500 companies. Our financial services practice boasts extensive experience across all facets of litigation and regulatory matters. While our primary base of operation is in the Southeast, our litigation and arbitration work spans across the entire United States, with successful outcomes in 49 states domestically as well as several countries internationally.

Exceptional Team

Our strength lies in our diverse and seasoned team of attorneys, who are dedicated to offering our clients the highest quality service on local, national, and international levels. We place a high value on diversity, ensuring that different perspectives and backgrounds are embraced and valued. This approach has earned our financial services practice significant recognition, including being named a Highly Recommended Firm by Benchmark Litigation and ranked in the top 50 of all law firms in BTI’s Litigation Outlook report.

Distinct Value Proposition

Despite our widespread geographical reach, most of our legal work is efficiently managed from our Alabama offices. This unique cost structure allows us to provide clients with exceptional value without compromising on the quality of our work. We offer a cost-effective alternative to higher-priced legal markets, ensuring our clients benefit from our proven expertise.

Complex Securities Litigation

Our firm represents individual and corporate defendants in complex securities litigation under various Acts, including the 1933 and 1934 Acts, the Private Securities Litigation Reform Act, and the Securities Litigation Uniform Standards Act (SLUSA).

Achieving significant outcomes in class action removals, dismissals, and resolutions, including the prestigious recognition of rare federal court trials for securities class actions.

Broker-Dealer Representation

For nearly 20 years, Maynard Nexsen has provided robust representation for broker-dealers in thousands of arbitrations before Financial Industry Regulatory Authority (FINRA) Dispute Resolution panels and in state and federal courts across the country. Our specialized team includes members licensed in jurisdictions with unique requirements, such as Florida and California. We tackle complex cases involving diverse financial products, including:

  • Structured Products
  • Auction Rate Securities (public and private)
  • Exchange Traded Funds
  • Preferred Securities
  • Open-end and Closed-end Bond Funds
  • CDOs, CMOs, and other asset-backed securities
  • Annuities
  • Derivatives

We are adept at defending against allegations of undisclosed conflicts of interest and can manage typical customer disputes including unsuitability, churning, unauthorized trading, and “selling away.”

Employment Arbitration and Expungement Practice

Our employment group specializes in defending claims asserted by former advisors before FINRA arbitration panels. We have managed over 100 FINRA matters in the past five years alone. Our team handles pre-litigation threats, administrative agency filings, and complex single-claimant and class action employment disputes in arbitration, particularly for global financial services firms.

We also represent clients in expungement defense matters, offering ongoing consultation and guidance on regulatory issues. Our strong Financial Services team maintains longstanding relationships with large broker-dealers and independent firms. Our niche experience in employment disputes and expungement matters sets us apart, providing a strategic advantage for our clients in industry employment matters and customer-related litigation.

Regulatory Expertise

Our attorneys bring substantial experience in defending individuals and firms in regulatory investigations and proceedings initiated by the Securities and Exchange Commission (SEC), FINRA, various state  Securities Commissions, and other federal regulators. Our valued relationships with key regulatory figures enhance our ability to effectively represent and defend our clients.

Why Choose Us?

Our decades of focused experience representing financial services clients, combined with our ability to handle a diverse range of securities litigation and regulatory issues, positions Maynard Nexsen as a leading firm in this dynamic field. Our nuanced understanding of the FINRA arbitral forum, regulatory concerns, and trial experience allows us to provide exceptional legal representation and achieve successful outcomes for our clients.


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