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Investigation And Litigation Attorneys - What Do They Offer For Financial Professionals?

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With the ever-growing number of financial professionals involved in white-collar crime, it is no wonder that more and more people are turning to lawyers who specialize in this field. This unique combination of law, finance, and accounting make for a lucrative career that provides opportunities for advancement. 

There are many cases where a financial professional in the brokerage industry needs help from lawyers. You might need someone with expertise to handle different issues and disputes between brokers and customers. If you are hiring an investigation and litigation attorney, then here take a look at the other services they offer:

  • Legal Representation in Fact-finding 

These are professional attorneys who know how important it is to get the facts straight. By hiring an experienced attorney, you can ensure that your claims are well investigated and handled. Law firms specializing in white-collar crime understand the importance of getting these facts right. They will be able to gather the necessary information about a case before filing any lawsuit or reaching out to clients for a settlement agreement. It makes for an efficient and effective job for an attorney specializing in these matters.

  • Representing in FINRA Disciplinary Investigations

These are investigations conducted by the Financial Industry Regulatory Authority. FINRA is a body responsible for regulating brokerages and financial professionals in the United States. They can be considered their form of law enforcement, and with this power comes a long list of regulations and procedures that must be followed. Defending FINRA charges is not easy, you need an experienced lawyer for the same.

  • Collecting Information

Suppose you are a broker or financial professional involved in an investigation where you have to defend yourself. In that case, a proper research and litigation attorney can gather information electronically and through data collection. For the electronic part of the job, they can download notifications from emails, cell phone records, complex drive data, and much more.

  • Data analysis

This is crucial for any professional investigating a case related to investment fraud. First, your attorney will gather all the information they can get in your case. Next, they analyze all that data to find clues that can be used during court proceedings. These professionals know how important it is to scrutinize and analyze any piece of information to utilize it effectively during legal proceedings.

  • Representing in Commercial Litigation

This is another essential service any attorney with experience in white-collar crime can offer you. These cases involve banks, brokerage firms, financial companies, or other entities engaged in commercial litigation or disputes. Again, a good lawyer can help you if you have been accused of breaking the rules by FINRA or other government agencies.


Choosing a reasonable investigation and litigation attorney is essential to get the best representation possible if you are accused of breaking the rules. It's always best to go with someone with more experience in this field as you do not want to take any chances with any novice. 

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