Cozen O’Connor: Financial Services

Financial Services

The global financial services industry faces a constantly changing set of challenges from regulators and litigants. Cozen O’Connor’s attorneys keep clients ahead of the curve, providing thoughtful and effective advocacy with each new wave of litigation. They also provide sound approaches to tackling litigation issues that clients have been facing for years.

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



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

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.