When financial institutions, registered investment advisers (RIAs), broker-dealers, executives, and other sophisticated companies face high-stakes disputes involving their people, business relationships, compensation, or regulatory obligations, they turn to Mike for strategic counsel and aggressive representation. For nearly four decades, Mike has represented clients in complex financial services litigation, Financial Industry Regulatory Authority (FINRA) arbitration, securities disputes, executive and financial advisor transitions, restrictive covenant matters, and other high-value commercial disputes. His practice is national in scope, backed by a multidisciplinary team with the experience and resources to respond quickly to nuanced matters across jurisdictions.
Mike is Board Certified in Business Litigation and Chair of Shumaker's Financial Services Industry Sector, where he leads a nationwide team serving clients throughout the financial services industry. His clients include major financial institutions, broker-dealers, RIAs, wealth management firms, financial advisors and executives, public and private companies, and Fortune 100 companies. He regularly represents clients in matters involving significant financial exposure, sensitive business relationships, high-profile personnel transitions, and issues that can have substantial implications for a company's reputation and operations.
