Business Details
22 Years
experience
Financial Services Litigation & Regulatory Defense Attorneys
Founded in 2004, Saretsky Hart Michaels & Gould + Gould has established itself as a premier litigation firm specializing in financial services law. Our team of seasoned attorneys brings decades of collective experience representing broker-dealers, investment advisers, insurance professionals, and corporate executives in complex legal matters. We provide strategic defense in securities litigation, regulatory enforcement actions, and business disputes while maintaining a robust compliance consulting practice.Our attorneys have consistently achieved favorable outcomes through arbitration, trial litigation, and expungement proceedings, protecting clients' professional reputations and financial interests. With offices in Birmingham and Chicago, we serve clients nationwide through personalized legal strategies grounded in deep industry knowledge and a commitment to excellence.
Services
Securities Litigation
Regulatory Enforcement Defense
Business Dispute Resolution
Compliance Consulting
Expungement Actions
Details
- Year established: 2004
Highlights and features
- We have decades of experience in financial services litigation and regulatory defense.
- Our attorneys are recognized as Super Lawyers and Rising Stars in securities law.
- We provide tailored compliance programs to prevent regulatory issues and customer complaints.
- Our team successfully handles complex cases in FINRA arbitration and federal/state courts.
- We specialize in expungement actions to protect financial professionals' reputations.
What people say
Proven track record
Experienced attorneys
Super Lawyers recognition
Effective representation
Reputation protection
Services
Securities Litigation
We represent financial professionals in disputes involving unsuitable investments, unauthorized trading, and regulatory violations. Our attorneys handle cases related to stock, bond, and mutual fund disputes across federal and state courts. With extensive experience in FINRA arbitration, we protect clients' interests in complex securities matters involving allegations of fraud, negligence, and breach of fiduciary duty.
Regulatory Defense
Our firm defends clients in investigations by the SEC, FINRA, and state regulators. We handle licensing issues, disciplinary actions, and enforcement proceedings for broker-dealers and investment advisers. Our team provides strategic representation during regulatory exams, investigations, and disciplinary hearings to protect clients' professional licenses and business operations.
Compliance Consulting
We develop customized compliance programs to prevent regulatory violations and customer complaints. Our services include policy development, staff training, and regulatory audit preparation for financial firms. We help clients implement effective compliance measures that address evolving securities laws and industry standards.
Expungement Actions
We specialize in removing defamatory entries from BrokerCheck reports through FINRA arbitration and court proceedings. Our attorneys handle expungement cases for registered representatives facing false allegations. We provide strategic representation to protect professionals' reputations and ensure accurate regulatory disclosures.
Business Litigation
We resolve business conflicts through litigation and arbitration for companies in the financial services industry. Our practice includes contract disputes, partnership conflicts, and corporate governance matters. We represent clients in state and federal courts, focusing on efficient resolution of complex commercial litigation involving financial institutions and professional service providers.
People
Gary M. Saretsky
Partner
Co-founding partner with extensive experience in securities litigation and regulatory defense. Recognized as a Super Lawyer in financial services law. Specializes in FINRA arbitration and SEC enforcement actions.
Miles D. Hart
Partner
Seasoned litigator focusing on investment adviser disputes and compliance matters. Handles complex cases involving breach of fiduciary duty and regulatory examinations.
Eric A. Michaels
Partner
Specializes in business litigation and insurance coverage disputes. Represents financial professionals in employment-related legal matters and commercial conflicts.
Karen A. Gould
Partner
Experienced in regulatory enforcement defense and compliance counseling. Advises clients on securities law compliance and risk management strategies.
Samuel P. Mauch
Partner
Focuses on expungement actions and professional reputation protection. Successfully obtained removal of defamatory entries from BrokerCheck reports through FINRA arbitration.
Questions
What areas of law does Saretsky Hart Michaels & Gould + Gould + Gould specialize in?
We specialize in securities litigation, regulatory defense, business disputes, compliance counseling, and expungement actions for financial professionals.
Do you represent individual financial professionals and firms?
Yes, we represent both individual financial professionals and financial services firms in litigation and regulatory matters.
In which jurisdictions do you practice?
We practice nationwide with primary offices in Michigan and Illinois, handling cases in federal/state courts and FINRA arbitration forums.
How do you handle regulatory investigations?
We provide strategic representation during SEC, FINRA, and state regulatory investigations, focusing on minimizing professional and business impacts.
Can you help remove false allegations from BrokerCheck reports?
Yes, we specialize in expungement actions to remove defamatory entries from BrokerCheck through FINRA arbitration and court proceedings.
What experience do your attorneys have?
Our attorneys have decades of collective experience, with multiple Super Lawyers and Rising Stars designations in securities law practice.
