Gavin brings two decades of in-depth product knowledge from the mutual fund industry plus deep experience litigating claims related to private placements, Reg-D alternative investments, variable annuities and insurance products.
Prior to his legal career, Gavin worked as senior vice president at Financial Research Corporation and vice president at Scudder Investments in Boston. He also co-founded and chaired the Industry Statistics Committee of the Investment Company Institute.
FINRA Arbitration, Regulatory Advocacy & Compliance Consulting
Gavin has defended dozens of broker-dealers and registered representatives against due diligence, unsuitability, fiduciary duty, failure to supervise, breach of contract, negligence, churning and fraud claims related to the sale of alternative products, non-traded REITS, mutual funds, ETFs, options and VAs.
He also defends brokers and advisors in regulatory investigations before both the Financial Industry Regulatory Authority and state securities regulators, consults with brokerage compliance officers regarding U-4, U-5 and Form BD filing requirements, and handles regulatory expungements for broker CRD records.
Insurance Company & Insurance Agent Defense
Gavin defends insurance companies and agents against unsuitability, fiduciary duty, breach of contract, negligent supervision, negligence, churning and fraud claims related to the sale of fixed and variable insurance and annuity products. He also represents insurance agents before state insurance and security regulators. Gavin advises insurance companies on day-to-day operational issues and handles interpleader filings to resolve disputed claims.
Defending Banks Against Lender Liability Claims
Gavin has successfully defended some of the largest financial institutions in the country against consumer claims under the Fair Debt Collection Practices Act, Real Estate Procedures Act, Truth in Lending Act, National Housing Act and state common law claims such as fraud, breach of contract and negligence. He has extensive experience defending mortgage foreclosure counterclaims and claims of unfair debt collection practices in consumer credit collection matters.
Non-Financial Business Litigation
Gavin handles a wide variety of interbusiness disputes for non-financial companies, representing both defendants and plaintiffs, with particular emphasis on non-compete agreements and misappropriation of trade secrets.
Gavin is an enthusiastic runner who has completed a dozen half-marathons in recent years. He also has a great interest in the history, geography and archaeology of Israel.