Pete focuses his practice on securities litigation, regulatory proceedings involving financial service companies and products, and compliance matters. He represents multinational and regional financial services firms, including banks, broker-dealers, investment advisers, mutual fund firms, and insurance companies as well as their employees, directors, and officers.
Pete’s extensive experience with securities disputes includes class actions, state and federal court cases, arbitration, and related employment matters. He also represents clients before a wide range of federal, state and self-regulatory agencies: the Securities and Exchange Commission (SEC), the US Department of Justice (DOJ), the US Commodity Futures Trading Commission, the National Futures Association, the Financial Industry Regulatory Authority (FINRA), and state securities regulators. In the compliance side of his practice, Pete guides clients through complex internal investigations and has served as an outside compliance consultant on two Massachusetts Securities Division matters.
More Legal and Business Bylines From Pete S. Michaels