Financial Services Litigation Attorneys

Investment professionals and insurance and annuity companies are often entrusted with managing large sums of money on behalf of investors and retirement plans. All too often, unfortunately, that trust is abused, especially when investors are elderly or financially unsophisticated.

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Types of Financial Litigation Cases We Handle

Drawing on more than 35 years of experience, our Financial Services Litigation team protects retirement plans, investors, policyholders, and retirees from unscrupulous companies, stockbrokers, and investment advisors who have taken advantage of them in securities or other financial services transactions.

Through actions brought under federal and state laws, Sanford Heisler Sharp can help investors recover the lost value of mismanaged investments, especially when these investments relate to:

  • 401(k)s
  • Pension plans
  • Stocks
  • Mutual funds
  • Private funds
  • Derivatives
  • Bonds

Pursuing Justice for Investors

Investors who have been wronged by purposeful misrepresentation, poor decision-making, inappropriate or exorbitant fees, investment misconduct, or other unlawfully abusive behaviors can turn to Sanford Heisler Sharp for help in their pursuit of justice. Our attorneys are skilled at recognizing and appropriately responding to circumstances of misrepresentation, fraud, mismanagement, and abuse. They also keep abreast of the consumer legislation affecting investors’ ability to bring claims against bad actors, who have been historically protected by law.

Our Financial Services Litigation Successes

We have secured major settlements and awards for our clients, including:

  • A $61 million settlement against General Electric (“GE”)
  • A $13.75 million settlement against Walgreen Co. 
  • A $5.4 million settlement against Transamerica
  • A $3.45 million settlement against Eaton Vance Corp.
  • A $2.1 million arbitration award against Madison Avenue Securities and
    its registered representative.

Our Financial Services Litigation Team

Our Financial Services Litigation Practice is staffed with experienced investment and securities lawyers who have spent their careers in the securities and financial services industry. Practice Chair Charles Field is currently litigating ERISA class claims against UnitedHealth Group, Home Depot, The Capital Group, and Allstate for mismanaging 401(k) plans. These are high-stakes cases involving hundreds of millions of dollars and affecting the lives of over a million people.

If you or someone you care about has been taken advantage of in a securities or other financial transaction, contact Sanford Heisler Sharp so we can help redress the harm.

Client Testimonials

$13.75 Million Settlement

ERISA Settlement Against Pharmacy Chain

Sanford Heisler Sharp reached a $13.75 million settlement on behalf of a class of nearly 200,000 Walgreens employees who were participants in a 401(k) plan they alleged was improperly managed.

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Recognized as Law Firm of the Year