With prior experience at some the most prestigious law firms and investment banks in the world, the attorneys at Beugelmans are regularly sought as counsel to tackle complex legal and factual issues or to provide aggressive and cost-effective representation. Whether we are appearing on behalf of our clients before a judge, jury, arbitrator or regulatory body, we focus on preparation, advocacy, and a relentless drive to win.
With offices in New York City, Chicago and San Francisco, Beugelmans attorneys regularly appear in state and federal courts nationwide, in addition to handling arbitrations, mediations and regulatory proceedings throughout the United States.
- Represented individual seeking investment adviser registration in SEC follow-on proceeding; defeated Division of Enforcement’s motion for summary disposition.
- Represented major brokerage firm in successful FINRA arbitration, securing full award for firm and defeating multi-million dollar employment-related counter-claims.
- Serve as lead legal counsel for broker-dealer affiliate of international bank holding company regarding self-clearing conversion.
- Serve as compliance counsel to top-tier investment bank on a variety of regulatory issues including research, sales and trading.
- Represented numerous registered investment adviser clients in arbitration proceedings before JAMS and AAA.
- Resolved two separate FINRA enforcement actions for hedge fund portfolio manager and prime broker representative through negotiation of AWCs with FINRA.
- Represented plaintiff financial services company in the Southern District of New York alleging fraudulent naked short selling and breach of contract against hedge fund; judgment in favor of plaintiff for entire relief sought.
- Representing defendant privately-held registered investment adviser in Bankruptcy Court in adversary proceeding concerning fraudulent transfer claims in excess of $50 million.
- Represented large non-profit organization in New York Court of Claims in breach of contract case against New York State; $3 million settlement approved by Judge on eve of trial.
- Representing investment adviser/broker-dealer firm in 40-day FINRA arbitration concerning alleged breaches of loan agreements, protocol violations and various employment claims.
- Represented a health optimization company in a commercial arbitration before AAA; secured full withdrawal of claims with no payment from client.
- Represented major brokerage firm in New York state court, successfully defeating motion to vacate arbitration award and securing cross-motion to confirm arbitration award.
- Represented defendant underwriter in Southern District of New York concerning fraud and mutual mistake claims in connection with sale of asset backed securities; motion to dismiss granted.
- Represented defendant investment adviser firm in New York State court concerning estate claims in connection with disputed account.