Financial Institutions
and Investors
Representing financial professionals, institutions, and investors in
FINRA and SEC regulatory investigations, investment loss disputes,
and employment matters nationwide.
Unsurpassed SEC,
FINRA & Industry
Experience
From our office in Chicago, Illinois, the attorneys at Hyman Cotter PC have unsurpassed experience with financial services matters gathered from over 55 collective years of advocating on behalf of financial advisors, other financial professionals, the world’s largest financial institutions and investors.
Our top-tier lawyers’ experience derives from working as senior enforcement attorneys at the United States Securities and Exchange Commission, in senior in-house counsel and business positions at Morgan Stanley, UBS Financial Services, and as attorneys at the world’s largest law firms. Our core values include putting the client first and providing cost-effective counsel coupled with professional and aggressive advocacy.
From our office in Chicago, Illinois, the attorneys at Hyman Cotter PC have unsurpassed experience with financial services matters gathered from over 55 collective years of advocating on behalf of financial advisors, other financial professionals, the world’s largest financial institutions and investors.
Our top-tier lawyers’ experience derives from working as senior enforcement attorneys at the United States Securities and Exchange Commission, in senior in-house counsel and business positions at Morgan Stanley, UBS Financial Services, and as attorneys at the world’s largest law firms. Our core values include putting the client first and providing cost-effective counsel coupled with professional and aggressive advocacy.
Our attorneys help financial advisors understand the ins and outs of the financial services industry. We are regularly retained to
provide counsel on, and when necessary, handle litigation and arbitration relating to, a wide array of matters impacting the financial
services industry:
Representing Financial Professionals Representing Financial
Institutions Representing Investors
Representing You
Financial
Professionals
Our Illinois FINRA lawyers counsel financial l advisors, registered representatives, financial planners and other financial professionals on employment-related matters, including CRD, Form U4/U5 and Form ADV disclosures, expungement, wrongful termination, employment discrimination, firm transitions, deferred compensation, non-competes, non-solicitations, garden leaves, promissory and forgivable note obligations, and regulatory investigations involving the SEC, FINRA, state, other SRO regulators and the CFP Board.
Financial
Institutions
We represent financial institutions in litigation and advise on employment matters, financial advisor transitions, Form U4/U5 and Form ADV disclosures, customer claims involving alleged investment losses and other misconduct, promissory and forgivable notes, and investigations involving the SEC, FINRA, state, other SRO regulators and the CFP Board. We also are frequently engaged to provide compliance-related advice, trade reviews and to conduct internal investigations.
Individual
Investors
Our investment fraud attorneys advocate for investors who suffered losses due to the misconduct of financial advisors, firms, and other professionals who recommended unsuitable investments and trading strategies, breached contractual and fiduciary duties, perpetuated Ponzi schemes, or engaged in fraud, theft, churning, unauthorized trading, overconcentration, financial abuse of seniors, and other forms of improper account management.
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Meet
Our Attorneys
Douglas W. Hyman
Partner
Meet
Our Attorneys
Doug Hyman has spent his entire 30-year career advocating for clients in the financial services industry. Doug’s diversified legal and business experience comes from years of advising clients as a senior enforcement attorney at the SEC, as in-house counsel at Morgan Stanley, as a financial advisor at UBS and through his representation of thousands of clients in private practice. His extensive experience includes handling numerous financial services matters to trial before various types of arbitration panels and in courts nationwide.
Amy Stahl Cotter
Partner
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Our Attorneys
Amy joined Hyman Cotter PC after working for more than two decades at the United States Securities and Exchange Commission, where she served in multiple leadership roles including as an Assistant Director for the Division of Enforcement in the Chicago Office, Senior Trial Counsel, and as a member of the SEC’s specialized Asset Management Unit. Amy led SEC teams that investigated and litigated complex and high-profile securities matters involving insider trading, market manipulation, public company fraud and financial statement reporting, and violations by Public Company Accounting Oversight Board (PCAOB)-registered audit firms. While at the SEC, Amy also served as a Special Assistant U.S. Attorney in both the Northern District of Illinois and in the Southern District of Ohio, where she worked on two separate criminal insider-trading investigations.
Daniel Hildebrand
Partner
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Our Attorneys
Daniel Hildebrand represents companies, executives and individual investors in a wide range of matters, with a focus on cases involving fraud, misrepresentation, breach of fiduciary or professional duty, and breach of contract claims, as well as defense of SEC, FINRA, DOL and other regulatory investigations. Dan graduated from Yale Law School in 1992 and clerked for Judge Walter Cummings on the United States Court of Appeals for the Seventh Circuit in Chicago from 1992-1993. Thereafter, he was in private practice at two leading national law firms: Mayer Brown (1993-2010) and Greenberg Traurig (2010-2022). Dan was a partner in the litigation group at Mayer Brown and a Shareholder in the litigation group at Greenberg Traurig. Dan also served as Special Assistant Attorney General to the State of Illinois from 2000-2001.
