Faun M. Phillipson

Practice Areas

• Securities Defense Litigation and Arbitration
• Securities Regulation and Regulatory Compliance
• Commercial Litigation
• Employment Litigation
• Alternative Dispute Resolution

Faun M. Phillipson is a founding member of the firm, and possesses the aggressiveness of a New Yorker combined with a Midwestern work ethic. She has extensive experience representing and defending members of the financial services industry in both state and federal litigation, regulatory matters and agency enforcement actions. Having learned the ropes of securities defense representing a wide variety of brokerage firms, broker-dealers and registered representatives during the sink-or-swim fallout resulting from the 2000 market correction, Ms. Phillipson quickly rose to the top and proved herself a valuable asset in the world of securities defense. She has a broad base of experience with common law claims such as suitability, unauthorized trading, churning and failure to execute, as well as with causes of action arising under the Securities Act of 1933, the Securities Exchange Act of 1934, various state 'blue sky' statues and derivative claims such as failure to supervise and control person liability. She also has extensive experience in the areas of regulatory compliance, responding to regulatory inquiries and defending against regulatory investigations, examinations and agency enforcement actions.

Ms. Phillipson is experienced in the field of commercial litigation, having practiced before not only the state and federal courts of New York but also with pro hac admissions for matters in Fulton County, Georgia; Los Angeles County, California; Miami-Dade County, Florida and the Northern District of Ohio.

Ms. Phillipson represents a wide array of clients in employment-related matters, including litigation and arbitration as well as drafting agreements for various businesses based in both New York and Wisconsin, and works closely with these clients to develop appropriate policies, manuals and handbooks.

Ms. Phillipson also works closely with investment advisory firms in connection with their preparation of annual regulatory filings and compliance manuals and memoranda, and serves in a legal advisory capacity to a variety of businesses, including those in the entertainment, fashion and nightlife industry, in the New York metropolitan area.

In July 2007, Ms. Phillipson spearheaded the firm's nationwide expansion by opening the Wisconsin branch office, located just 20 miles from Madison in New Glarus.