Financial Services Litigation

Financial Services Litigation

Commercial and investment banks, venture capitalists, institutional trustees and fiduciaries turn to Waller to guide them with strategic decision-making and conflict resolution. Waller attorneys have represented companies, individual directors and special litigation committees in shareholder derivative litigation as well as corporate insiders in cases alleging improper trading activity.

With the increase of globalization, litigation in the financial services industry has become more complicated and full of risks. Delivering sophisticated analysis in a relatable style, Waller has an established reputation as a leader in financial services litigation.

We have successfully defended clients in the following areas:

  • Consumer class action suits alleging improper charges
  • Truth in Lending claims
  • Lawsuits involving interest rate derivatives
  • Bookkeeper embezzlements
  • Disputes among members of loan syndicates
  • Claims relating to defaulted bond issues

Wills and Estates

In probate, trust and estate matters, we have extensive experience representing fiduciaries accused of breach of trust including abuse of investment discretion. We routinely represent individuals, charities and institutions in cases involving will contests, trust construction, fraudulent transfer issues, guardianships and conservatorships.


In the area of securities litigation, we have successfully defended clients in claims brought by individual stock purchasers as well as in enforcement proceedings before the:

  • NASD
  • New York Stock Exchange
  • Securities and Exchange Commission
  • Securities Division of the Tennessee Department of Commerce

Our attorneys have successfully tried jury and bench trials involving securities claims, and have acted as lead counsel for securities litigation in U.S. District Courts throughout the country and in numerous state courts. We have also handled dozens of broker/dealer matters arising in the context of customer disputes, including claims alleging churning of accounts and unsuitable investment advice.

Capital Markets

Waller has had an enviable record of success in the area of capital markets litigation. We have proved that complexity in capital markets products, including interest rate derivatives of all varieties, does not prevent financial institutions from successfully resisting claims of customers that in hindsight regret their investment decisions. Waller lawyers have also achieved a good understanding of the rights and duties of participants and agents of loan syndicates and complex financial arrangements.

Related Experience

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Defended the bank holding company in a lawsuit brought by an art dealer claiming the bank was responsible for an embezzlement by the dealer's bookkeeper.

Alabama-based bank faces $30 million inter-creditor dispute with agent bank

Represented the Alabama-based bank as loan participant in connection with its debt, additional DIP financing and inter-creditor disputes with the agent bank.

Financial services company defends embezzlement lawsuit brought by a large charitable organization

Successfully defended a financial services company against charges it bore responsibility for embezzlement committed by a customer's employee.

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