Lewis and Roca has represented more broker-dealers than any other law firm in Arizona and perhaps the Southwest. We have handled hundreds of customer-based disputes in arbitration and in court. Jay Simpson began defending broker-dealers in 1984 and has handled more than a thousand cases.
In addition to defending customer claims or registered representatives, Lewis and Roca regularly represent broker-dealers in other matters. We have extensive experience seeking (and opposing) restraining orders in broker raiding cases and routinely handle regulatory and disciplinary matters for companies and individuals before state and federal regulators, as well as the SROs. We also have a number of labor and employment lawyers representing broker-dealers on various employment issues from wage disputes and EEOC discrimination claims to ADA claims. Lewis and Roca, through its municipal finance group, represents broker-dealers in their capacities as underwriters of municipal financings. Bryant Barber, the lead partner in the group, regularly represents one broker-dealer firm in its underwriting capacity. The firm has the extensive experience needed by our clients in municipal finance, including related areas of state and federal securities and tax law, and economic development financing programs as well as specialization in capital formation for municipal governments and small businesses.
We have experience in other areas where our broker-dealer clients sometimes need assistance. For example, Chris Herstam, former Director of the Arizona Department of Insurance, was a key member of the transition team for Former Arizona Governor Jane Hull and Arizona Governor Janet Napolitano, provides assistance with Department of Insurance matters, as well as legislative issues. Our tax, ERISA, real estate, criminal defense, and even tort lawyers have also assisted broker-dealers with non-securities matters. With offices in Arizona, Nevada and New Mexico, we are able to effectively represent broker-dealers throughout the Southwest.