On February 11, 2025, Meyer Wilson Partner Courtney Werning will deliver a guest lecture at the University of Miami School of Law, focusing on “Fact Investigation on Brokerage Firms and Associated Persons.” This session aims to equip law students with practical insights into investigating brokerage firms and their associated individuals, emphasizing the importance of thorough fact-finding in securities litigation.
The Importance of Fact Investigation in Securities Law
In the realm of securities law, meticulous fact investigation is crucial for building a compelling case. Understanding the operations of brokerage firms and the roles of associated persons is essential for identifying misconduct and advocating effectively for clients.
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Investigating Brokerage Firms
Brokerage firms are intermediaries that facilitate the buying and selling of securities for clients. Investigating these entities involves examining their compliance with regulatory standards, internal policies, and transaction records. Key areas of focus include:
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Regulatory Compliance: Ensuring adherence to rules set by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
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Operational Practices: Assessing the firm’s procedures for supervising associated persons and handling client accounts.
Scrutinizing Associated Persons
Associated persons are individuals affiliated with brokerage firms, including brokers and supervisory personnel. Investigating these individuals entails:
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Background Checks: Reviewing employment history, licensing status, and any past disciplinary actions.
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Conduct Analysis: Evaluating their interactions with clients to identify potential instances of fraud, misrepresentation, or other unethical practices.
By delving into these aspects, legal professionals can uncover critical information that supports claims of investor harm and facilitates the pursuit of justice.
Courtney Werning’s upcoming guest lecture at the University of Miami promises to provide valuable insights into these investigative processes, drawing from her extensive experience in securities litigation. Law students attending this session will gain a deeper understanding of the practical skills necessary to navigate the complexities of fact investigation in the financial services industry.
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About Courtney M. Werning
Courtney M. Werning is a Partner at Meyer Wilson, a law firm renowned for representing investors in disputes against financial professionals and brokerage firms. Ms. Werning joined Meyer Wilson as a law clerk in 2010 during her second year in law school. Over the past 14 years, she has earned a national reputation as a successful trial attorney in high-stakes disputes between individual investors and their financial advisors. Her practice includes litigation in state and appellate courts and many arbitration forums across the country.
Ms. Werning’s recent civil cases and arbitrations have involved allegations related to unsuitable investment strategies, fraud and misrepresentation, Ponzi schemes, legal malpractice, elder financial abuse, securities act claims, and securities class actions.
For more information about Courtney and her work at Meyer Wilson, please visit her professional profile or watch our video about her story below:
Recovering Losses Caused by Investment Misconduct.