"The securities industry has been in an evolutionary period and so have we. Our securities arbitration, litigation and regulatory practice has evolved over the last several decades to the degree that we are now able to offer national law firm quality legal representation at competitive rates. We view our future as part of the broader market place, while maintaining strong local roots."*

 Bruce W. Day
 Securities Litigation Co-Chair


"In this ever-changing regulatory and legal environment, the key to a cost-efficient and effective defense is experienced securities litigation counsel. We leverage our knowledge to partner with our clients in developing alternative fee structures and case management tools. Our centralized location in Oklahoma city allows us to provide innovative and responsive legal services on a national level at a small town price."*

 Tara A. LaClair
 Securities Litigation Co-Chair


Securities Litigation

Our business is to get you back to your business.

The Securities Litigation Practice Group of Crowe & Dunlevy is dedicated to finding legal solutions for a wide range of businesses in securities, inside and outside the courtroom. In a global economy, our firm represents clients locally, nationally and around the world.

Our firm has served as counsel for individual securities firms, jointly as counsel for securities firms and individual securities agents and /or investment advisors in proceedings involving sales practice, employment and investment products. Our Securities Litigation group also provides representation before various securities regulatory organizations including the U.S. Securities and Exchange Commission, FINRA and the various state securities agencies.

Law firms throughout the country turn to Crowe & Dunlevy to act as lead, special or local counsel in complex litigation or major transactions under Oklahoma jurisdiction.

Whether in negotiation, litigation, mediation or arbitration, our firm is dedicated to providing the highest quality legal representation. The attorneys in our Securities Litigation practice are committed with an emphasis on personal attention. In short, we mean business.


Crowe & Dunlevy assists clients, both individual and business, with structuring and evaluating public offerings and private placements and compliance with complex state and federal laws and regulations. Our experience extends to:

  • CFTC (commodities) trading
  • Director and officer liability
  • Insider trading
  • Mutual funds and investments
  • SEC, State and FINRA regulatory investigation and enforcement
  • FINRA arbitration proceedings
  • Employment recruiting and raiding defense 
  • Securities fraud
  • Foreign investment markets
  • White collar criminal cases

Clients include local commercial enterprises, as well as securities and financial firms across the United States. Our work includes multidistrict litigation and securities industry arbitration in such forums as the New York Stock Exchange, NASD and FINRA.

We have appeared in almost every state as part of integrated internal and external sales practice for large securities firms.

*Past results afford no guarantee of future results. Every case is different and must be judged on its merits.

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