S. Lawrence Polk

He is a sought-after speaker, presenting at numerous seminars on securities and sales practice issues, including issues arising from the structured finance and subprime markets. 

In connection with his securities litigation practice, Larry represents officers, registered representatives, investment advisers, banks and broker-dealers in a wide variety of proceedings in state and federal courts and before self-regulatory organizations such as Financial Industry Regulatory Authority (FINRA). He defends claims arising from transactions in a number of investment vehicles, including stocks, bonds, mutual funds, options, variable products, foreign currencies and structured finance products.

Larry defends banks in actions arising from the sale of debt and equity derivative products. He defends class actions filed against banks, accounting firms, underwriters and corporate officers. Over the past 30 years, Larry has tried numerous cases through award or verdict, and he has defended individuals and firms in dozens of FINRA arbitrations throughout the country involving sales practice issues. His experience in regulatory matters includes representing broker-dealers and individuals in enforcement proceedings, advising clients, and performing special compliance audits.