Regulatory and Compliance
Englander Fischer’s broker/dealer and investment adviser Regulatory and Compliance group is comprised of several attorneys who work closely with our clients to help them maintain compliance in an ever-changing regulatory landscape. As the importance of transparency rises, and the costs of non-compliance with laws and regulations increase, businesses everywhere strive to adapt to the growing pressure from regulatory bodies.
Our clients come to us to understand their responsibilities, manage risk, lessen the impact of complex regulatory rules on their transactions or day-to-day operations, and represent them before regulators in examination, inquiry and enforcement matters, should they arise.
With our extensive knowledge of state, federal and self-regulatory organizations (SRO) securities industry regulations, we are well positioned to help our clients deal in successful and innovative ways with regulatory and compliance issues.
Section Chair: Dionne Fajardo
Our lawyers confidently shepherd cases through pleadings, discovery, mediation, trial and appellate processes. Because business disputes are financially draining, we always explore and work toward resolution whenever possible. Better than 90% of our cases are settled before trial. In every case, we tailor our strategy according to our clients’ needs and actively discuss and pursue ways to resolve a claim as soon and as often as possible.
Our firm is committed to four non-negotiable cultural practices: Quality Work, Collegiality, Respect and Courageous Professionalism.
Our attorneys are prepared to:
- Communicate, educate, and train on securities compliance issues
- Design, implement, and monitor effective compliance, programs, procedures, and practices
- Direct and perform internal investigations to detect potential violations of legal and regulatory requirements by an organization’s employees and representatives
- Perform mandatory compliance reviews/annual audits and risk and conflict assessments
- Draft agreements and disclosures documents
- Advise and assist with initial registration applications and ongoing registration amendments and filings
- Handle regulatory inquiries, routine and for cause examinations, and enforcement actions
- Represent organizations and registered representatives in business combinations and transitions
- Help ensure compliance with rules and regulations of securities industry regulators including:
- Securities and Exchange Commission (SEC)
- Financial Industry Regulatory Authority (FINRA)
- Municipal Securities Rulemaking Board (MSRB)
- State Securities and Insurance Regulators
Successful prosecution and defense of numerous covenants not to compete and trade secret litigations.
Successful resolution of injunction claims on behalf of a nationwide health club in defense of action brought by the Florida Attorney General’s Office involving statewide billing practices.
Englander Fischer is proud of its role as lead counsel in the seven-year litigation seeking termination of an 85-year ground lease that culminated in the redevelopment of an entire city block in downtown St. Petersburg.
Representation of a whistleblower leading to SEC action against national securities brokerage for fraud and misrepresentation regarding broker compensation. The client received a whistleblower award from a multi-million-dollar SEC settlement with the brokerage.
Achieved successful resolution of years long contentious divorce involving multiple entities and real estate assets.
After evidentiary hearings, achieved successful resolution of class action litigation involving 25,000 plaintiffs brought against statewide Florida furniture retailer.
Secured a favorable resolution of three-year-old prominent high net worth divorce after entry into the proceeding to prosecute valuation and entitlement of business interests.
Achieved successful verdicts after trial of dozens of commercial deficiency judgment proceedings on behalf of real estate entities.
Successful prosecution of numerous legal, architectural, and accounting malpractice claims to recover client damages. In a unique legal malpractice claim, we resolved damage claims against an attorney and his bank, who failed to take safeguards to prevent thieves from hacking email and escrow accounts.
Represented apartment complex developer against nationwide commercial institution for failing to honor an oral agreement reached as part of court-ordered mediation. The damage claim arose because the developer sustained multi-million dollars losses from rate changes in derivative bonds when the institution failed to honor its oral agreement. At trial, we were able to successfully pierce mediation and attorney-client privileges, following which our client received 100% of its damage claim.
Assisted divorce counsel in tracing and uncovering assets and unlawful expenditures hidden by the spouse. The proceeding was entering its 3rd year when we were retained, and our efforts led to a rapid settlement of $4 million more than originally estimated by the client’s divorce counsel.
Successful resolution of multiple claims against institutions for improperly terminating lines of credit.
Represented municipal baseball commission in defense of suit brought by interloper seeking to have the city terminate its ground lease with the commission. After prevailing on a series of temporary injunction hearings, the parties agreed to a beneficial resolution for all.
Represented private investors participating in a complex real estate ownership group as creditors in a Chapter 11 Bankruptcy case, resulting in payment in excess of $4,000,000 to the owners.
Represented commercial building contractors as a creditor in a Chapter 11 Bankruptcy case filed by a national restaurant franchisee resulting in a significant recovery for the creditor contractor.
Represented multiple Landlords, as creditors, throughout the United States in Chapter 11 Bankruptcy cases to protect their rights and maximize recovery from commercial tenants who filed bankruptcy to attempt to avoid their liability to Landlords.
Represented local commercial real estate investment company in a hotly contested state court case involving the ownership interest in a Pinellas County historic building resulting in a significant court decision in favor of the owner.
Represented multigenerational county wide catering company in a Chapter 11 Bankruptcy case through a successful reorganizational process that preserved the ongoing value and integrity of the company.
Represented partner in affiliated New York and Florida entities that purchased, sold and brokered millions of dollars of private label consumer debt against charges of civil theft, breach of fiduciary duty, tortious interference and various intellectual property claims filed in separate state actions in Florida and New York. Tried spoliation claims in advance of the main trial and prevailed, following which the plaintiff dismissed its cases.
Obtained a $7 million judgment, including $600,000 in punitive damages for tortious interference of a family-owned business.
Served as lead counsel in both the trial and appellate courts in securing a permanent injunction against the City of Treasure Island on behalf of beachfront hotel owners, forever prohibiting the city from allowing vehicular traffic on Treasure Island Beach and protecting the delicate Gulf Coast seashore environment.
Englander Fischer secures a judgment in favor of its client, a veteran, on claims of fraud and violations of Florida’s Unfair and Deceptive Trade Practices Act following a two-day bench trial.
Englander Fischer scored a major victory for its client, a large manufacturer of electric vehicles, in defense of a claim brought by a private equity company based in Texas alleging tortious interference, fraud, breach of good faith and fair dealing, and conspiracy. David Delrahim and Courtney Fernald litigated this Federal Jury Trial in the Northern District of Texas for four days. After a strategic litigation decision on their presentation of the evidence, they won directed verdict on all counts after resting their case.