Financial Services

Executives and organizations in the financial services industry are subjected to the highest levels of scrutiny from government regulators and enforcement officials.

Providing legal advice to players in the financial services industry is a core part of our business. 

From criminal investigations to business and executive disputes, Zuckerman Spaeder understands the risks and knows how to work with regulatory agencies.

TK attorneys with government experienceIncluding the former director of enforcement for the CFTC


For many clients, going to trial isn’t the answer. Using alternative dispute resolution options can be quicker, cheaper, and lead to a better outcome. Though we are trial lawyers at heart, often the parties opt to use arbitration or mediation as a cost-saving approach, and we have successfully represented our clients in these venues. 

From portfolio managers to CFO, our attorneys have extensive experience helping clients resolve disputes through arbitration and other alternative means.

Executive disputes

Beyond the millions of dollars at stake, disputes between executives and their employers can destroy reputations, disrupt business, and demolish future prospects. We handle these situations with savvy and sensitivity, vigorously defending our clients’ interests while remaining keenly aware of the impact litigation can have on lives and livelihoods

With our deep white-collar defense and investigations experience, our attorneys help clients navigate the difficult situations to find a resolution. When going to trial is the best course for our client, we are experienced, recognized trial attorneys who go toe-to-toe with the government regulators and the largest law firms.

Federal oversight

The high level of regulatory scrutiny of the financial services industry in the wake of the national housing market collapse and recession, has meant that executives and organizations in the financial services industries are at more risk than ever before from federal oversight. 

With the former director of enforcement for the CFTC among our ranks, our team is deeply experienced in helping individuals and navigate regulatory requirements and respond to financial regulators in the SEC, FDIC, CFTC, and IRS, among others.


We frequently defend senior executives, officers and directors, lawyers, and other entities and individuals in investigations and trials involving a wide range of securities, bank, financial, and accounting fraud matters.

Our cases typically involve investigations initiated by the DOJ and SEC, and they are often accompanied by private class actions. We have tried both criminal and civil securities enforcement cases to verdict, and we have successfully represented clients in all forms of attendant civil litigation.


When the Department of Justice or SEC investigate, class actions, civil disputes, and parallel proceedings often follow. 

Led by the former enforcement director for the U.S. Commodities Futures Trading Commission, our securities and commodities litigation practice has tried both criminal and civil securities enforcement cases to verdict, and we have represented clients in securities-related civil litigation.