Explore Our Capabilities

Financial Services Litigation


The financial services industry continues to be one of the most highly regulated and closely examined enterprises in the United States. Due to multiple debilitating recent financial crises, banking and other financial institutions must now be prepared for increased government regulations, as well as complex challenges from other sources, including civil lawsuits and governmental investigations.

Parker Poe has longstanding relationships with many national, regional and community banks, along with lenders, creditors, servicers, broker-dealers and insurance companies. Because of the experience and knowledge our attorneys have gained by representing these businesses, we are strongly positioned to help our clients in the financial services industry meet new challenges head on.

Representative Experience

Offensive Litigation

  • All aspects of the collection of outstanding debts including foreclosures, bankruptcies, receiverships, federal and state court collection actions and arbitrations
  • Breach of contract claims against vendors including claims on insurance policies and financial institution bonds
  • Inter-creditor/participation agreement disputes

Defensive Litigation

  • Lender liability claims including fraud, negligent misrepresentation, unfair and deceptive trade practices, breach of fiduciary duty, and breach of implied covenant of good faith and fair dealing
  • Commercial financial instruments litigation including interest rate swaps/letters of credit
  • Bankruptcy adversary proceedings including preference actions and fraudulent transfers
  • Retail banking claims defense including litigation related to forged checks and invalid signature cards
  • Defense of claims challenging validity of bank collateral security interests
  • Consumer mortgage defense including RESPA, TILA, ECOA, FDCPA, FCRA and wrongful foreclosure

Government Investigations / White Collar Defense

  • Defense of all regulatory investigations, allegations of criminal wrongdoing and formal/informal inquiries by various governmental agencies including OCC, HUD, SEC, OFAC, NCUA, Board of Governors of the Federal Reserve System, FDIC, States Attorneys General, local prosecutors and the Department of Justice
  • Thorough compliance audits of bank regulatory procedures and policies

Broker-Dealer Litigation

  • A full range of disputes and investigations impacting broker-dealers, including FINRA arbitrations and federal and state lawsuits involving the securities industry
    • Our experience includes FINRA industry disputes such as financial advisor promissory note cases, raiding and recruiting cases and broker employment cases
    • On the customer dispute side, our attorneys have extensive experience defending a variety of FINRA customer cases (and similar cases in the courts), alleging unsuitability, fraud, negligence, churning and failure to supervise, among other claims
  • Defense of insurance and annuity product cases including class actions involving alleged misrepresentations in connection with the sale of life and disability insurance; lawsuits involving the denial of life insurance benefits; lawsuits alleging the sale of insurance products by “unauthorized” insurance carriers or otherwise in violation of state regulations

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