Practice Areas


White & Woods attorneys provide experienced representation in securities litigation and securities regulatory matters.

Securities Litigation

The Firm defends broker-dealers, registered investment advisors, clearing firms, and financial industry professionals against claims brought by retail and institutional customers in various arbitration forums (including before FINRA, AAA, and JAMS) and in state and federal courts.  The Firm’s lawyers have handled numerous cases involving allegations of federal and state securities laws violations, failure to supervise, unsuitability, breach of fiduciary duty, fraud, unauthorized trading, churning, selling-away, failure to execute, breach of contract, and violations of industry rules and regulations.  The Firm’s lawyers have also represented broker-dealers in arbitrations against financial advisors to recover amounts owed to brokerage firms on promissory notes and in defense of related counter-claims.

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Securities Enforcement Defense

White & Woods also provides securities enforcement defense for broker-dealers, investment advisers, hedge funds, others in the financial services industry, public companies, and officers and directors before the SEC, Department of Justice, FINRA, CFTC, state securities regulators, and other entities with securities jurisdiction. We represent clients at all stages of regulatory and enforcement proceedings, including preliminary or informal inquiries, administrative actions, formal enforcement investigations, and enforcement hearings.

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The Firm represents companies in many types of employment matters, including defending against claims for wrongful termination, age discrimination, sex discrimination, disability discrimination, national origin discrimination, racial discrimination, pregnancy discrimination, religious discrimination, retaliation, wage and hour violations, ERISA violations, sexual harassment, breach of contract, defamation, violation of family leave laws and other claims. We also provide counsel to businesses on a wide variety of employment issues, including hiring and selection procedures, discipline and termination, harassment and discrimination investigations, wage and hour matters, drug testing, occupational safety and health matters, unfair competition, and employee indemnification. In addition, the Firm assists clients with the documents that are necessary for day-to-day operation within California, including employment applications, employee handbooks, binding arbitration agreements, at-will agreements, employment contracts, independent contractor agreements and a variety of other agreements.

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Business Litigation

The attorneys at White & Woods are experienced civil litigators.¬† We have handled a wide variety of commercial litigation matters involving tort and contract claims, including claims for negligence, breach of fiduciary duty, unfair business practices, breach of contract, tortious interference, defamation and related causes of action.¬† In addition, the lawyers at White & Woods have extensive experience in handling complex litigation matters, including class and mass actions in both state and federal courts as well as before the self-regulatory agencies of the securities industry.¬† We have also handled numerous cases brought on behalf of the general public through the use of ‚Äúprivate attorney general‚ÄĚ statutes, including California‚Äôs Private Attorneys General Act.

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Internal Investigations

The attorneys at White & Woods have experience and expertise in conducting internal investigations concerning a wide variety of business matters, including potential violations of securities and other laws, corporate fraud, insider trading, breaches of fiduciary duty, embezzlement, privacy breaches, and employment related matters.  We have conducted investigations for brokerage firms, investment advisers, investment banks, hedge funds, as well as companies in a variety of other industries.  The Firm works closely with company counsel and corporate management to identify and resolve these matters as quickly and efficiently as possible.

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