The attorney has responsibility for the defense of litigation claims, including lawsuits and arbitrations. Under the guidance of Senior Counsel, the attorney handles the defense of a docket of arbitration cases involving claims seeking up to several hundred thousand dollars in damages. The attorney supports Outside Counsel and other TDA counsel in defending larger lawsuits and arbitrations. The attorney provides legal advice to the Business including Retail, Institutional and Operations regarding potential and asserted claims, and related issues. The attorney works with paralegals on the Litigation Team. The attorney’s primary objective is risk management in the area of litigation.
- Prepare cases for hearing and serve as trial counsel in FINRA arbitration cases involving claims seeking damages up to several hundred thousand dollars. Evaluate cases for settlement, and handle settlement negotiations including mediations.
- Assist and support Outside Counsel and other TDA counsel in defending larger lawsuits and arbitrations. Review pleadings, motions and legal briefs prepared by Outside Counsel. Participate in strategic and tactical decisions in the litigation. Evaluate cases for settlement and participate in settlement negotiations and mediations. Review invoices submitted for professional services rendered by Outside Counsel and Expert consultants and witnesses.
- Assist Sr. Counsel in the provision of legal advice to the Business including Retail, Institutional and Operations regarding potential and asserted claims, and related matters.
- Assess cases for legal accruals and discuss assessment with other attorneys in the Legal Department.
- Work with Compliance Department on matters related to litigation.
- Experience working as an attorney in a law firm or a legal department of a corporation or governmental agency.
- Strong legal research and drafting skills required.
- Some litigation and trialexperience.
- Knowledge of general securities, corporate and commercial law, and broker dealer regulations preferred.
- Experience defending claims involving securities laws and brokerage firms preferred.
- Graduate of an accredited law school and a member of a state bar.
- 3-5 years related experience; 3-5 years total experience
- Military education or experience may be considered in lieu of civilian requirements listed.