Drawing upon Attorney Nagy’s years of experience prosecuting and defending claims against broker-dealers, financial advisors, and others in the financial services industry in the arbitration and litigation arenas, as well as his experience defending regulatory matters, the firm is available to help you reduce litigation risk and steer clear of regulatory issues.

The majority of financial firms and professionals are honest, ethical, principled, hard-working, and want to do the right thing. The Law Office of Michael A. Nagy helps its clients stay on the right side of the law by consulting on litigation and regulatory risk to help reduce those risks.

Reducing Private Litigation Risk

The risk of private litigation is a real one for any business. For brokerage firms and other financial services companies, the stakes of even a single case can be enormous, and in today’s environment the sights are often set on firms in the financial services industry. Any firm or individual that has been embroiled in private litigation certainly knows firsthand that it is expensive, time consuming, distracting, and generally bad for business. Often, the hindsight sentiment is that the costs of private litigation could have been avoided if some proactive steps had been taken before trouble arose.

We consult with companies and individuals seeking to stay out of court so they can stay focused on their businesses. With years of experience on both sides of private securities litigation, Attorney Nagy is well positioned to advise his clients on how to steer clear of the plaintiffs’ bar. He will help you identify and understand the key principles to reducing your private litigation risk and will help you tailor and apply those principles to your business. While litigation risk cannot be completely eliminated, taking the appropriate steps to mitigate litigation risk is a sound business decision.

Reducing Enforcement Risk

The risk of civil or criminal enforcement actions by government agencies keeps many in the financial services industry awake at night. Indeed, with an aggressive Justice Department rendering multi-billion-dollar fines and scoring multiple insider-trading convictions, an SEC demanding admissions of wrongdoing even when extracting record-breaking settlements, and with FINRA’s Enforcement Division seemingly emboldened and as aggressive as ever, our financial services clients need to be prepared for anything.

Even better than mounting a strong defense is preventing the need for one. The Law Office of Michael A. Nagy, LLC embraces the philosophy that an ounce of prevention is worth a pound of cure. With years of experience counseling clients who have become embroiled in regulatory inquires, investigations, and enforcement actions, Attorney Nagy is well positioned to troubleshoot and help his clients stay out of the government’s crosshairs.