Management and Professional Liability

Our clients take professionalism as seriously as we do. Stockbrokers, corporate officers, architects, and other attorneys — they strive to deliver with consistency the highest standard of care expected in their industry. When their clients or other parties do bring claims, for whatever reason, these professionals, directors, executives, and their insurers trust our commitment to professionalism — and to professionals.

Attorneys in Goldberg Segalla’s nationwide Management and Professional Liability Practice Group leverage hindsight, foresight, and insight to deliver cost-efficient and strategic legal solutions for our clients — every time. Our experience serving clients across countless professions and industries includes:

  • Aggressively defending plaintiffs’ claims
  • Minimizing damages from legitimate errors, mistakes, and accidents
  • Educating and preparing professionals to meet evolving and emerging industry-specific risks

Professional Partnership for Defense and Risk Management

Our profession is defending yours. For attorneys on our team, that means that practicing in this specialized area of the law demands more than mastery of effective trial techniques and knowledge of statutes and decisions. Our work really begins with understanding each client’s industry, individual business model, and unique stressors, so that we can identify the relevant standards of care and tailor creative, efficient, and strategic defenses.

Our team consists of over 50 attorneys with both legal and practical, hands-on knowledge of industries like health care, accounting, insurance, construction/engineering and design, and even scuba diving. We strive to understand both what keeps our clients up at night, and what drives them back to work each morning — and our track record proves that this approach leads to better results in both defense and risk management.

Accountants

Goldberg Segalla’s Management and Professional Liability attorneys have defended and counseled accountants through decades of major changes in statutory and case law, market forces, litigation trends, and the scope and standards of accounting business operations. With a deep bench of respected trial attorneys drawing on decades of experience, our team is the go-to practice for numerous Top 50 and super-regional accounting firms, and our attorneys are trusted counselors to some of the leading accountants and accounting firm executives in the business.

We have counseled and defended accountants and accounting firms in lawsuits brought by acquirers or sellers of business entities, bank and insurance regulators, bankruptcy trustees, banks and other lenders, and investors in securities class actions; as well as investigations led by bankruptcy trustees, creditors’ committees, the Department of Labor (DOL), the Federal Bureau of Investigation (FBI), grand juries, the Internal Revenue Service (IRS), professional licensing bodies, the Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), and state and local government entities.

Architects, Engineers, and Design Professionals

We have extensive experience protecting architects, engineers, land surveyors, energy firms, environmental engineers and consultants, and other design-focused clients against claims involving issues and allegations including design defects and omissions, negligent provision of construction phase services, delay claims, faulty or defective material specification, indemnification and contribution, and professional negligence. 

We have advised and represented clients in design-build and design-bid-build matters, in traditional projects and ones involving unusual complications and emerging technologies and risks. We’ve successfully litigated multimillion-dollar, high-exposure matters as well as sensitive but “smaller” dollar-number matters in which the greatest risks pertained to a client’s reputation and ability to continue working. We also counsel clients on the full range of risks specific to the design professional and engineering field, including environmental law matters and emerging environmental concerns, cyber risks and new technologies like drones and nanomaterials, intellectual property issues, government and partnership issues, transactional needs, and compliance with and investigations from all relevant state and federal regulatory agencies.

Banking and Financial Institutions

Our team has a particularly deep bench of attorneys with decades of experience serving the financial industry, where companies and officials face civil and administrative litigation brought under federal and state banking, consumer, and securities laws and regulations. We bring not only extensive experience litigating claims involving these rules and statutes, but also a thorough understanding of the individualized concerns and nuanced needs of public as well as privately held financial institutions. We defend banks, credit unions, captive insurance companies, and other financial institutions in a broad range of professional liability and other claims.

Our experience includes:

  • Civil rights claims
  • Class actions
  • Collateral sales and replevin actions
  • Commercial and business litigation claims
  • Commercial loan workouts and restructurings
  • Director and officer liability
  • Employment litigation
  • Errors and omissions
  • Federal and state fair lending laws
  • Fraud claims
  • Insurance claims, including safe deposit box losses
  • Predatory lending claims
  • Regulatory compliance
  • Secured transactions
  • Surety and fidelity bonds
  • Unfair and deceptive business practices

Broker-Dealers and Registered Representatives

We represent clients in securities litigations and Financial Industry Regulatory Authority (FINRA) arbitrations nationwide, and also counsel clients through issues involving the full spectrum of securities industry-specific claims, investigations, and enforcement actions. With an authoritative understanding of the applicable regulations and an unsurpassed knowledge of how to navigate the process of arbitration and regulatory inquiries, we help clients minimize the impact of regulatory enforcement and customer complaints. Our services include:

  • Providing legal counsel during regulatory inquiries
  • Defending clients under investigation for regulatory matters
  • Guiding clients through the arbitration process
  • Using alternative dispute resolution methods to obtain quick settlements of claims
  • Assessing and advising clients on evolving FINRA and other self-regulatory organizations (SROs) rules, regulations, and procedures

Directors and Officers

Our team represents directors and officers in high-value disputes throughout the U.S., in both federal and state courts, and around the world, and acts as trusted counsel providing timely and proactive advice on the full spectrum of risk-avoidance issues and emerging concerns relevant to directors and officers in virtually any industry. Whenever events occur in the life of a company that could make shareholders, customers, employees, or regulators unhappy, or could otherwise catch the attention of plaintiffs’ lawyers, directors and officers and their D&O insurers call on Goldberg Segalla.

Our D&O defense attorneys are ready to:

  • Advise on litigation and regulatory risk
  • Conduct internal investigations
  • Conduct pre-suit investigations and pre-trial settlement negotiations
  • Defend against regulatory investigations and enforcement by state and federal agencies
  • Litigate or arbitrate any dispute that cannot be resolved through negotiation or mediation in cases involving single-plaintiffs or class actions, as well as derivative actions
  • Provide guidance on compliance with the evolving data privacy requirements of companies and their officials in various industries
  • Provide training to avoid pitfalls that can lead to litigation and regulatory action
  • Resolve complex, high-exposure commercial and fraud-based disputes on behalf of businesses and their executives and board members

Our D&O clients include both public and private companies, nonprofit entities, governmental divisions, investment trusts, limited and general partnerships, and homeowner’s associations.

Employment Practices Liability (EPL)

Drawing on the full resources of the firm’s robust and nationwide Employment and Labor Practice Group, we frequently counsel and defend clients facing the full gamut of Employment Practices Liability (EPL) matters, including emerging employment-related concerns and issues involving new statutes, regulations, agency guidance, and case law. We represent employers in state and federal court through various avenues of ADR, and before federal agencies such as the U.S. Equal Employment Opportunity Commission, the Department of Labor, the National Labor Relations Board, and the Occupational Safety and Health Administration, as well as local and state agencies.

Our ability to assist employers with training and risk management sets us apart. Attorneys across our national Professional Liability and Employment Practice Groups monitor breaking developments in case law and state and federal statutes, as well as emerging and evolving trends in EPL claims and judicial decision-making, and we provide our clients with valuable news and analysis through email alerts, webinars, and other communications on a rolling basis. We routinely perform risk management assessments and develop comprehensive claims and litigation avoidance strategies for our clients, and we offer on-site training — both to the executives and human resources departments of insured employers, as well as claims executives, underwriters, and third-party-administrators — on the full spectrum of employment issues. Long-term clients count on these value-added services to lower legal spending and reduce the incidence of distracting and potentially damaging EPL claims.

Fidelity

Goldberg Segalla defends insurers against claims brought by financial institutions and other corporate policyholders involving financial institution bonds, fidelity bonds, and crime policies. We serve fidelity clients throughout the nation and around the world, and our attorneys have directly handled matters in the United States, Europe, South America, and England.

We have decades of experience counseling insurers, conducting investigations, and handling first-party coverage litigation in matters involving:

  • Account manipulation
  • Catastrophe-related safe deposit box claims
  • Check-kiting
  • Computer fraud
  • Embezzlement
  • Employee dishonesty
  • ERISA fraud
  • Forgery
  • Fraudulent acts
  • Fund misdirection and misappropriation
  • Improper wire transfers
  • Lending losses
  • Mortgage fraud
  • Ponzi schemes and other financial scams
  • Precious metal loss
  • Safe-deposit box burglary
  • Securities fraud
  • Social engineering losses

Health Care Professionals

Goldberg Segalla attorneys have counseled and defended health care professionals and businesses through some of the most sweeping regulatory changes, advances in technologies and practices, and trends in individual and class action litigation to affect the industry in the last two decades. Our team combines deep and diverse health care industry experience, a collaborative and holistic approach to legal services, and relationships with the nation’s top expert witnesses to find the ideal resolution for the claims our clients face — whether through early settlement or dismissal, mediation, trial, or appeal.

Many of our litigators draw on professional backgrounds in health care, bringing to each matter an invaluable understanding of the internal and external pressures that our clients face — as well as a powerful authority in the courtroom. Our team includes former in-house counsel for health care businesses and systems, hospital and long-term care company board members, hospital and emergency room advisory committee members, and a former paramedic.

Insurance Agents and Brokers

Goldberg Segalla attorneys routinely represent insurance agents and brokers in errors and omissions (E&O) claims and lawsuits on a regional and national basis. We have successfully litigated hundreds of such lawsuits, derived from claims arising out of both first-party and third-party claims, in connection with placements in the excess and surplus lines market, as well as personal lines; commercial lines; professional liability; umbrella excess; life, health, and disability (LHD); and workers’ compensation coverage.

We don’t just defend E&O claims — we actively assist our clients in trying to prevent them. We are committed to providing insurance agents and brokers and their E&O insurers with cutting-edge, practical E&O loss control advice and to help them implement those techniques. We are also available to represent insurance agents and brokers outside of an insured claim, including with respect to E&O loss control and prevention seminars and audits, and to assist the insurance agents and brokers in obtaining insurance coverage for claims on behalf of the customers against the insurance agency or brokerage.

Lawyers and Law Firms

Our lawyers defend other lawyers against legal malpractice claims, in disciplinary proceedings where licenses are in jeopardy, and against all kinds of other claims which are often asserted by people who weren’t even the lawyers’ clients. Routinely hired by legal malpractice insurers to defend their insured lawyers, as well as hired directly by other members of the bar, we have defended attorneys who practice in all areas of the law, including personal injury, commercial litigation, mergers and acquisitions, banking and finance, debt collection, estate planning, intellectual property, bankruptcy, real estate, criminal law, and matrimonial law, to name just a few. Our team draws on decades of collective experience spanning hundreds of cases, some involving financial exposure in the tens of millions of dollars.

Long-Term Care

Long-term care facilities are burdened with elevated regulatory scrutiny at both the state and federal levels, which has stoked the predatory aggression of the plaintiffs’ bar and triggered an increase in civil claims. Led by a former in-house counsel at one of the nation’s largest privately owned long-term care companies, attorneys in our dedicated Long-Term Care team understand the special concerns involved in these complex, sensitive, and high-value cases, and we bring a wealth of experience and knowledge to the defense of our clients in the industry.

We protect the interests and reputations of nursing homes, assisted living, independent living, post-acute, mental health care, continuing care retirement, skilled nursing, long-term care pharmacy, and rehabilitation facilities and companies targeted with negligence, abuse, and malpractice claims. 

Miscellaneous Professionals

From dog groomers to dietitians, Goldberg Segalla’s attorneys have defended scores of insureds in the burgeoning field of miscellaneous professional liability (MPL). Combining our extensive experience defending the traditional professions with proven practices for handling MPL claims — including quickly identifying the relevant standard of care and leveraging our deep contractual dispute capabilities — the Goldberg Segalla team has worked and won cases on the furthest edge of the MPL frontier since the policy line’s beginnings. As this expansive and expanding category continues to evolve, we’re proud of our sustained and consistent work both in defending individual professionals and in helping insurers to understand, anticipate, and adapt to emerging exposures and trends in claims and litigation.

Leaders in Professional Liability Law

We’re proud that attorneys in our Management and Professional Liability Practice Group are recognized by their peers for their leadership in this highly specialized area of the law. Our team includes:

  • The former chair of the National Committee of the Claims and Litigation Management Alliance (CLM)
  • Multiple former chairs of the Professional Liability Committee at CLM
  • Multiple past presidents of the Professional Liability Defense Federation (PLDF)
  • A PLDF Insurance Committee co-chair
  • The immediate-past chair of the PLDF Corporate Governance Committee
  • The immediate-past chair of the Professional Liability Underwriting Society (PLUS) Mid-Atlantic Steering Committee
  • Chair-elect of the American Bar Association (ABA) Professional Liability Insurance Committee
  • Former chair of the DRI Professional Liability Steering Committee
  • Former co-chair of the DRI Insurance Company Relations Subcommittee
  • A Fellow of the American Board of Trial Advocates (ABOTA) National Trial College

Our attorneys also lend their knowledge, time, and talents as active members and leaders in industry-specific legal and professional groups, including:

  • ABA Section of Litigation: Insurance Coverage Litigation Committee; Professional Liability Litigation Committee; and Tort Trial and Insurance Practice Section (TIPS) Professional Liability Insurance Committee (PLIC), including the chair
  • American Council of Engineering Companies (ACEC)
  • American Health Lawyers Association (AHLA), including a chapter editor of the Post-Acute Care Handbook
  • Federation of Defense and Corporate Counsel (FDCC) Insurance Coverage Section, including the chair; Insurance Industry Committee, including the co-chair; and Health Care Section, including the vice chair
  • Long Term Care Risk Forum, including a faculty member of the Power Lawyers Program
    • National Retail and Restaurant Defense Association (NRRDA), including a member of the Board of Directors, and a board advisor and former chair of the Employment Practices Committee
  • American Institute of Architects (AIA)
  • Construction Financial Management Association (CFMA)
  • Construction Specifications Institute (CSI)
  • DRI Construction Law Committee, including former national chair, as well as vice chair of the 2018 Nursing Home and Assisted Living Seminar
  • PLDF Insurance Committee, including the co-chair; and Insurance Agent/Broker Claims Committee, including the vice chair
  • Professional Women in Construction (PWC), including a Board of Directors member

As a leading voice nationally on the defense of professional malpractice and negligence claims, we publish Professional Liability Magazine and the Professional Liability Matters blog to provide risk management tips and an in-depth look at legal developments impacting the professional liability community.