David Ward focuses his practice on financial services regulatory matters, internal investigations and related litigation. He represents financial services clients throughout the United States, including broker-dealers, investment advisors, banks, pension consultants, insurance companies and publicly traded entities before the SEC, FINRA, CFTC, U.S. Department of Justice and state regulators. David regularly assists clients in internal investigations; the defense of regulatory investigations, sales practice issues, corporate governance matters and securities-related litigation in state and federal courts nationwide. He also advises clients on compliance issues, and has acted as the Independent Compliance Consultant in Massachusetts Securities Division matters.
David also represents firms, directors and officers in employment litigation, including discrimination, wrongful termination, recruiting and "raiding" matters, compensation and separation agreements, and Form U-4 / U-5 issues. He is nationally recognized in this field and has litigated hundreds of employment matters across the country.
- Oklahoma City University (JD)
- Oklahoma City University (BS)
- Represented broker-dealer in an investigation of its alleged market timing of mutual funds that involved numerous agencies: the Massachusetts Securities Division, the SEC, the New Jersey Attorney General’s Office, the New York Attorney General’s Office, the New York Stock Exchange, the National Association of Securities Dealers, Inc., and the DOJ.
- Represented financial institutions and corporate officers in SEC and FINRA investigations involving allegations of securities laws violations, including insider trading, market manipulation, free-riding, and front-running.
- Represented broker-dealers in employment matters in state and federal courts, and subsequent arbitrations, including cases alleging discrimination, wrongful termination, U-5 defamation, raiding, violation of trade secrets acts and violation of Regulation S-P.
- Advised broker-dealers in U-4 and U-5 disclosure matters to the SEC, FINRA, and state regulatory agencies.
- Represented broker-dealers in regulatory investigations relating to mutual fund break points, front-running, auction-rate securities, sale of structured products, failure to supervise, churning, unsuitability and unauthorized trading.
- Represented broker-dealers in regulatory investigations relating to Ponzi schemes perpetrated by employees and the subsequent regulatory and private litigation arising as a result.
- Represented broker-dealers in arbitrations, as well as state and federal courts, regarding customer-initiated sales practice allegations.
- Defended investment bank in $125 million claim brought in federal court which ended in judgment for Defendants on all counts.
- Member, SIFMA Compliance and Legal Division
- Member, Boston Bar Association
- Member, New York Bar Association
- Member, Florida Bar Association
- Member, Montana Bar Association
- Member, Florida Securities Dealer Association
- Volunteer Counsel, KIND (Kids in Need of Defense)
- Returned Peace Corp Volunteer, Guatemala