Business disputes come in all shapes and sizes—from franchisee disagreements and labor issues to complex regulatory actions involving securities and other financial concerns. Bender Law provides services in the following areas:

Securities fraud, enforcement, regulatory and broker-dealer defense

We defend investors, broker-dealers, investment bankers, advisers, and registered representatives in regulatory investigations and disciplinary actions brought by the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), and the State of Washington Securities Division, including presenting Wells submissions and Central Registration Depository expungement requests.

Bender Law also handles the prosecution and defense of public customer claims against investment advisors, broker-dealers and registered representatives. These matters involve claims of unsuitability, churning, breach of fiduciary duty, fraud and misrepresentation, particularly before FINRA Dispute Resolution.

Broker recruitment litigation

We can prosecute non-competition, non-solicitation and trade-secrets disputes for broker-dealers and registered representatives.

Franchising and related disputes

We represent franchisors in regulatory investigations and lawsuits, along with advising franchisees on their rights and defending them in franchise termination matters.

Employment rights, benefits and labor representation

We advise business clients on a myriad of employment and labor issues. Our experience includes trying wrongful discharge, discrimination, non-compete, and labor cases on behalf of clients in state and federal courts around the country.

Securities and complex civil litigation

Our securities litigation experience includes shareholder derivative actions, directors’ and officers’ liability, insider trading, corporate governance and internal investigations, mortgage-backed securities, and stock-option disputes.