April 19, 2021

Volume XI, Number 109

Anne N. DePrez

Anne DePrez advises on securities and business litigation, representing issuers, directors, underwriters, broker-dealers and other institutional clients in securities fraud class actions, securities enforcement actions and customer disputes. Anne delivers legal counsel, zealous advocacy and an understanding of the daily challenges her clients face when navigating the relentless demands of legal, compliance and commercial objectives.

As co-chair of the firm’s Financial and Regulatory Litigation team, Anne defends the rights of financial institutions against claims alleging violations of federal and state securities laws and common law claims. In her fourth decade of practice, Anne’s deep knowledge of the law and longevity in the financial services industry has allowed her to successfully resolve hundreds of claims, disputes and the like.

Anne has counseled clients on matters that range from complex securities litigation and class action claims to arbitration involving equities, bonds, derivatives, futures, mutual funds and insurance products. She also advises on single- and multi-party customer claims pertaining to sales practices, supervision, registration and fiduciary duties. In addition, Anne represents clients in administrative and disciplinary investigations and actions by self-regulatory organizations and regulators, including the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC).

Anne also represents clients involved in general commercial and corporate governance litigation, including derivative actions, partnership disputes and banking disputes. In addition to representing clients in both federal and state courts, Anne defends financial services companies before alternative forums, having appeared in arbitrations under the auspices of FINRA, the National Futures Association (NFA), the American Arbitration Association (AAA), and the Center for Public Resources. She has also served on arbitration panels for FINRA, AAA and NFA.

Although Anne concentrates her practice in litigation, she works diligently with clients to avoid disputes in the first place. As a result, Anne advises corporations, their boards and special committees on corporate governance and compliance issues in addition to representing them in connection with internal investigations.


Articles in the National Law Review database by Anne N. DePrez