CONTI FENN

Securities Litigation and Enforcement Practices

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Conti Fenn LLC represents clients in matters before the SEC, FINRA, the Maryland Securities Division, and numerous other financial regulators and SROs. When necessary, Conti Fenn LLC attorneys aggressively litigate regulatory matters and have extensive experience in managing multiple litigation fronts, such as SEC investigations, state regulatory investigations, and private litigation.

Conti Fenn LLC primarily represents defendants in private securities litigation. However, Conti Fenn LLC’s independence permits our attorneys to serve clients who need to sue businesses or financial professionals when necessary.

Notable Engagements:

  • Obtained an $80.8 million FINRA arbitration award on behalf of Kajeet, Inc.; the award is the largest consequential damages claim in FINRA’s history, and it is the largest reported consequential damages award or verdict in the United States.
  • Successfully defended the former Board Chairman of a public company in a shareholder derivative lawsuit.
  • Successfully defended institutional consultants in federal court TRO proceeding concerning alleged violations of non-solicitation agreements and Protocol for Broker Recruiting; successfully resolved follow-on FINRA arbitration concerning same allegations.
  • Successfully defended financial services firm in FINRA arbitration alleging fraud, failure to supervise, and other sales practice abuses.

Practice Group Leader

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