Financial Services

Our attorneys have experience representing commercial and investment banks; investment funds and money managers; private equity and venture funds; broker-dealers; directors and officers; insurers and reinsurers; and other corporate entities.

Cozen O’Connor assists clients facing regulatory scrutiny, private litigation, or both. We defend clients in civil litigation brought under commercial and investment banking, wealth management, or securities laws and regulations. And we protect clients in governmental investigations and enforcement actions initiated the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), Federal Reserve Board (FRB), Federal Deposit Insurance Corporation (FDIC), Consumer Financial Protection Bureau (CFPB), Public Company Accounting and Oversight Board (PCAOB), and other federal and state regulatory agencies.

Our attorneys have an in-depth understand of modern financial markets and banking. We are positioned to provide strategic litigation advice and advocacy to meet clients’ business and legal goals.

We understand that it is critically important to provide clients with both optimal service and cost predictability. Accordingly, we align ourselves with our clients’ interests by using strategically sound fee structures and efficient staffing of high-level legal talent. With the resources and geographic reach of a large national firm, Cozen O'Connor can respond quickly to client needs and still provide unparalleled value. We believe in structuring every representation with a mind toward fostering lasting client relationships. 

Service Areas

  • Banking litigation
  • Real estate and collateral-backed loan litigation
  • Fraud and breach of duty litigation
  • Internal investigations
  • Enforcement defense (SEC, FINRA, FRB, FDIC, CFPB, PCAOB, DOJ, and state agencies)
  • Securities arbitrations
  • Broker-dealer counseling



California Brings Licensing and Oversight to Consumer Debt Collectors [Alert]

November 02, 2020

Brett D. Watson discusses the DCLA, one of several new consumer protection bills recently enacted in California, including the state’s “mini-CFPB,” otherwise known as the California Consumer Financial Protection Law.

California Court of Appeal Holds Banks Owe Depositors No Duty to Monitor Other Depositor’s Accounts [Alert]

June 30, 2020

Brett D. Watson discusses the California Court of Appeal's decision in Kurtz-Ahlers v. Bank of America.

Expect an Uptick in Employee Embezzlement Following COVID-19 Lockdowns [Alerts]

June 25, 2020

Brett D. Watson discusses why small businesses could experience an uptick in embezzlement post-COVID-19, how to prevent it, and how banks can insulate themselves from liability.

COVID-Driven Commercial Litigation – What Businesses Can Expect

May 08, 2020

Adam Schlatner and Michael de Leeuw discuss potential COVID-19 related litigation, based on what is already happening and the legacy of other downturns.

NYS DFS Releases Emergency COVID-19 Regulation on Mortgage Forbearances and Financial Fee Waivers [Alert]

March 26, 2020

Stuart Shorenstein, Katie Schwab, Jamie Ansorge, and Evan Preminger discuss EC 202.9, requiring New York state-regulated financial institutions to provide mortgage forbearance for residential properties located in New York for 90 days and to eliminate ATM fees, overdraft fees, and credit card late payment fees.

NJ Case Bolsters The Limitations Defense Against SEC

January 02, 2018

Joseph Dever and Matthew Elkin, of Cozen O'Connor's Commercial Litigation Practice, co-authored, " NJ Case Bolsters The Limitations Defense Against SEC," for Law360.

In The News

Cozen O’Connor Continues its West Coast Expansion, Adding Three Veteran Southern California Litigators to its Los Angeles Office

March 04, 2020

Thomas Lombardi, Devin Donohue and Brett Watson — from one of southern California’s leading litigation boutiques Lombardi & Donohue — have joined the firm as members.

Share Class Settlements won’t Kill 12b-1 Fees but Resuscitation Comes Through Disclosure

March 21, 2019

Joe Dever was quoted in Regulatory Compliance Watch's article about the state of advisers receiving 12b-1 fees for placing clients in certain mutual fund share classes.


Michael B. de Leeuw

Vice Chair, Business Litigation

(212) 908-1331

John J. Sullivan


(212) 453-3729


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