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Financial Services

Conn Kavanaugh draws upon a wide range of disciplines to meet the needs of individual and institutional clients in the financial services industry.

Our attorneys have experience representing venture capital firms, investment companies, lenders, solicitation agents, analysts, and executives in a range of transactional and litigation matters.

Our experience includes:

  • Representation of individual and institutional investors in Financial Industry Regulatory Authority (FINRA) arbitration
  • Representation of executives in SEC civil enforcement proceedings
  • Representation of a mortgage lender in a first-of-its-kind agreement with the Massachusetts Attorney General’s Office to modify and service allegedly predatory loans
  • Representation of a multi-national financial services company in a dispute with an asset manager
  • Representation of a marketing agent for a private wealth manager in a dispute owes fees owed under a solicitation agreement
  • Representation of a venture capital firm in an action to recover fees owed under an advisory services agreement
  • Representation of an equity analyst in a compensation dispute with his employer

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