Financial Services Litigation


With the increase of globalization, litigation in the financial services industry has become more complicated and laden with risk. Commercial and investment banks, venture capitalists, institutional trustees and fiduciaries associated with trusts, estates, foundations, and ERISA plans turn to Waller to guide them with strategic decision-making and conflict resolution. Delivering sophisticated analysis in a relatable style, Waller has an established reputation as a leader in financial services litigation.

Waller attorneys have represented companies as well as individual directors and special litigation committees in shareholder derivative litigation as well as corporate insiders in cases alleging improper trading activity.

We have also successfully defended clients in the following areas:

  • Consumer class action suits alleging improper charges
  • Truth in Lending claims
  • Lawsuits involving interest rate derivatives
  • Bookkeeper embezzlements
  • Disputes among members of loan syndicates
  • Claims relating to defaulted bond issues


In probate, trust and estate matters, we have extensive experience representing fiduciaries accused of breach of trust including abuse of investment discretion.  We routinely represent individuals, charities and institutions in cases involving will contests, trust construction, fraudulent transfer issues, guardianships and conservatorships.


In the area of securities litigation, we have successfully defended clients in claims brought by individual stock purchasers as well as in enforcement proceedings before the:

  • NASD
  • New York Stock Exchange
  • Securities and Exchange Commission
  • Securities Division of the Tennessee Department of Commerce

Our attorneys have successfully tried jury and bench trials involving securities claims, and have acted as lead counsel for securities litigation in U.S. District Courts throughout the country, and in numerous state courts.

We have also handled dozens of broker/dealer matters arising in the context of customer disputes including, but not limited to, claims alleging churning of accounts and unsuitable investment advice.


The Tennessee Supreme Court held in accord with Waller's argument that, with respect to the duties owed to creditors by directors of insolvent corporations, Tennessee law conforms to the laws of Delaware. 

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