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S. Lawrence Polk

Of Counsel

Larry represents broker-dealers, banks, and accountants in securities litigation, securities arbitration, professional liability litigation, commercial litigation, and U.S. Securities and Exchange Commission (SEC) enforcement actions.

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.

  • Defended a national broker-dealer in several proceedings in which the opposing party ultimately sought more than $100 million in connection with the alleged wrongful recruitment of a registered representative and alleged theft of trade secrets. We initially represented the client in connection with a motion for a temporary restraining order in federal district court. We then defended the client in a two-year arbitration. The opposing party achieved a negligible net recovery, and our client was awarded more than $200,000 in sanctions.
  • Served as first chair in multiple FINRA arbitrations brought against a national broker-dealer by former customers claiming total damages of nearly $10 million.
  • Represents and defends a group of underwriters in a putative class action brought on behalf of purchasers of preferred shares in a failed energy company.
  • Regulatory actions, government investigations and litigation in a post-coronavirus world: Part III – Investor arbitrations, litigation and class actions, April 13, 2020
  • Regulation Best Interest – Enforcement and Litigation Risks, November 20, 2019, Envestnet
  • Dual registrants roundtable: Working through the SEC's new standard of conduct rules, June 27, 2019
  • Named to The Best Lawyers in America in the area of securities litigation (2013-2024)
  • Selected for inclusion in Georgia Super Lawyers® (2010-2021)
  • Member, Securities Litigation Subcommittee, American Bar Association
  • Member, Compliance and Legal Division of the Securities Industry and Financial Markets Association
  • Member, Southeastern Regional Board of Directors, Anti-Defamation League
  • Colorado
  • Florida
  • Georgia
  • Court of Appeals of Georgia
  • Supreme Court of Colorado
  • Supreme Court of Georgia
  • U.S. Court of Appeals for the Eleventh Circuit
  • U.S. Court of Appeals for the Sixth Circuit
  • U.S. District Court for the Middle District of Florida
  • U.S. District Court for the Middle District of Georgia
  • U.S. District Court for the Northern District of Florida
  • U.S. District Court for the Northern District of Georgia
  • U.S. District Court for the Southern District of Florida
  • U.S. Court of Appeals for the Third Circuit
  • J.D., Emory University School of Law,

    Order of Barristers, National Moot Court Team

  • B.A., University of Colorado at Boulder
S. Polk

Of Counsel

S. Polk

Of Counsel

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