Financial Services & Securities

Rotenberg Associates knows the importance of careful planning and strategic counsel on matters concerning the world of finance, securities, and shareholder relations. From proxy fights to IPOs, NASD investigations, and shareholder derivative suits, Rotenberg Associates is poised to guide you through the complexities unique to financial, securities, and shareholder matters.


Representative Financial Services & Securities Experience

  • Significant National Association of Securities Dealers (NASD) arbitration of a major financial service firm regarding broker and dealer noncompliance with industry standards
  • Publicly-held corporation accused of securities fraud
  • Shutdown of financial services company’s equity research division following insider trading investigation and related media coverage
  • Investor relations for hedge fund victimized by multi-million dollar Ponzi scheme
  • Shareholder lawsuit alleging inappropriate diversion of corporate funds to elected official
  • Pension fund facing severe losses during market downturn and announcement of significant benefit reduction for security holders
  • Prominent retailer’s SEC filings regarding foreign ownership and investment and subsequent boycott campaigns
  • Nationally publicized private shareholder litigation involving major medical device company


Securities Exchange Commission (SEC), NASD, federal and state investigations, and lawsuits were levied against a major investment bank and brokerage firm for conflict of interest within the firm's research and investment banking departments in violation of compliance with NASD and NYSE rules and federal securities laws. Rotenberg Associates, Minneapolis and Baltimore, developed a strategic communications plan for internal and external messaging for employees, customers, regulators and the media. Rotenberg Associates also developed and implemented a reputation rehabilitation plan to help the firm to remain a respected and valued asset of the community.