Shipra K. Rege

Shipra focuses her practice on securities and commercial litigation, representing broker-dealers, investment advisors, and registered representatives in a wide range of securities industry-related matters. In Financial Industry Regulatory Authority (FINRA) arbitrations, she defends broker-dealers against defamation claims and requests for expungement brought by former registered representatives arising from information reported to FINRA on Form U5s and also defends broker-dealers in customer arbitrations involving allegations of suitability issues, unauthorized trading, and other sales practice violations. She advises and defends clients in investigations brought by regulators, including FINRA, the Securities and Exchange Commission, and state securities regulators involving compliance with industry regulations regarding suitability, disclosure, recordkeeping and supervision.

In her commercial litigation practice, Shipra represents and advises corporations and entities in complex business disputes, including contract disputes, real estate disputes, and business tort claims.

Prior to joining the firm, Shipra worked as a litigation associate for an Ohio-based law firm.

Co-Author, “EEOC Regulations to Implement Pregnant Workers Fairness Act,” August 11, 2023.