Rebecca A. Beers, Partner
Rebecca Beers is a partner in the Birmingham office of RumbergerKirk and focuses on securities and commercial litigation. She represents broker-dealers and registered investment advisors in state and federal courts and in FINRA arbitration, litigating claims related to suitability, fraud, breach of fiduciary duty, failure to supervise, clearing broker liability, raiding, employment contracts, and U5 defamation. She also has substantial experience in class actions, insurance law, and employment matters. In addition, Rebecca has developed a wide-ranging knowledge of arbitration law, particularly in post-award litigation in courts and in the enforcement of arbitration agreements.
Heather B. Middleton, Partner
Murphy & McGonigle, P.C.
Heather Middleton focuses her practice on defending financial services firms and their employees in litigation, including FINRA arbitrations, involving securities law and other commercial claims, regulatory investigations and enforcement proceedings, and responding to subpoenas. Additionally, Ms. Middleton serves her clients in an advisory role and assists with drafting compliance policies and procedures and agreements, and helping firms comply with regulatory requirements. She also performs due diligence on behalf of Authorized Participants and lead market-makers providing seed capital for the launch of new exchange traded funds. In addition, Ms. Middleton advises companies concerning cybersecurity policies and procedures, vendor issues and incident response. She has achieved outstanding results for her clients.