Benjamin J. Biard

Ben Biard focuses his practice on securities litigation and dispute resolution. Ben has extensive experience representing broker-dealers, registered representatives and hedge funds in securities litigation, including class actions, in federal and state courts, as well as before the Financial Industry Regulatory Authority Dispute Resolution forum (FINRA). He also represents clients in securities regulatory proceedings before FINRA and the U.S. Securities and Exchange Commission (SEC).

Prior to joining Wilson Elser, Ben was in-house trial counsel at a major brokerage firm in New York City. During this time, Ben gained first-hand knowledge of what in-house attorneys need and expect from their outside counsel relative to effective litigation. Ben draws on the insights he gained through his substantial background in the securities industry not only in handling his clients’ active litigation matters, but also in providing clients with continuous counseling on market changes that could impact their business.

AREAS OF FOCUS

Securities Industry
Ben represents broker-dealers, insurance companies, registered representatives, insurance agents and hedge funds in federal and state court litigation, dispute resolution proceedings, and regulatory matters before FINRA and the SEC. Many of the issues Ben has addressed for his clients involve allegations of the suitability of investment recommendations, churning of investment accounts, misrepresentation of investments, lack of supervision and failure to perform adequate due diligence. In his regulatory practice, Ben has assisted clients in connection with net capital compliance, as well as alleged violations of federal, state, SEC and FINRA rules governing broker-dealers, hedge funds and registered representatives.