David Ward focuses his apply on monetary providers regulatory issues, inner investigations and associated litigation. He represents monetary providers shoppers all through america, together with broker-dealers, funding advisors, banks, pension consultants, insurance coverage firms and publicly traded entities earlier than the SEC, FINRA, CFTC, U.S. Division of Justice and state regulators. David commonly assists shoppers in inner investigations; the protection of regulatory investigations, gross sales apply points, company governance issues and securities-related litigation in state and federal courts nationwide. He additionally advises shoppers on compliance points, and has acted because the Unbiased Compliance Advisor in Massachusetts Securities Division issues.
David additionally represents corporations, administrators and officers in employment litigation, together with discrimination, wrongful termination, recruiting and “raiding” issues, compensation and separation agreements, and Kind U-4 / U-5 points. He’s nationally acknowledged on this subject and has litigated tons of of employment issues throughout the nation.