Founding Partner

George Guerra

For more than three decades, George has represented institutions and individuals in business disputes involving all types of contracts and business torts. A substantial part of his practice is devoted to helping Broker-Dealers, Registered Investment Advisors and financial services professionals manage the risks presented by the complex regulatory environment in which they operate. He represents clients in FINRA and AAA arbitrations, state and federal court litigation, and in regulatory proceedings brought by the state, self-regulatory organizations and the SEC.

  • J.D., Stetson University College of Law, 1991 
    • International Academy of Trial Lawyers Award
    • Member Trial Team 
    • Member Moot Court Board 
    • International Academy of Trial Lawyer’s Advocacy Award
    • Closing Argument competition -1st Place
  • B.A., Boston College, 1985
    • Who’s Who among American Colleges and Universities
    • Harry W. Smith Award for outstanding service to the university
  • California Bar, 1992
  • Florida, 1994
  • U.S. Court of Appeals, Ninth Circuit
  • U.S. Court of Appeals, Eleventh Circuit
  • U.S. District Court, Middle District of Florida
  • U.S. District Court, Southern District of Florida
  • American Bar Association
  • Hillsborough County Bar Association: Chair, Securities Section
  • Securities Industry Association: Legal and Compliance Division
  • The Florida Bar: Past Member, Unlicensed Practice of Law Committee
  • Successfully argued that statutes of limitations apply in arbitration before the Florida Supreme Court.  Raymond James Fin. Servs. v. Phillips, 126 So. 3d 186 (Fla. 2013) 
  • Obtained $4,500,000 Award on Broker-Dealer’s counterclaim against former advisors who claimed firm had caused the collapse of their financial services practice.
  • Successfully defended bond trader and firm in four-day jury trial arising out of a multimillion-dollar trade error and recovered attorney’s fees.
  • Won summary judgment on claims by a former partner to ongoing royalties and ownership interests in business; recovered attorney’s fees in both trial and appellate courts. Panico v. Maguire, 2025 Fla. App. LEXIS 2538, *1, 406 So. 3d 1052, 2025 LX 87144, 2025 WL 979973.
  • Following a three-day bench trial, obtained a seven figure judgment against former director of international Broker-Dealer’s Turkish subsidiary as well as dismissal of all counterclaims.
  • Representation of a broker/dealer in an industry-wide action which challenged the tax-exempt status of certain bond offerings based on pricing methodology used for advance refunding. 
  • Tampa Jesuit High School Foundation – 2nd Vice President
  • Renew Haiti, Inc – Board Chair 
  • Fellowship of Christian Athletes (FCA) – Advisory board member
  • Florida Securities Dealers and Advisors (FSDA) – member
  • Suncoast Chapter of the Leukemia Lymphoma Society: President of the Board of Trustees, 2007; Corporate Chairman, Light the Night Campaigns, 2005-2006
  • “Securities Law Developments: Avoiding Traps for the Unwary in Every Day Practice and Recent Class Action Developments,” Moderator, Hillsborough County Bar Association, April 27, 2007
  • Options Backdating: What it means and When it’s Illegal
    USF College of Business –Symposium on Corporate Governance – April 10, 2008
  • Understanding the Fiduciary Model: What Do You Have to Lose?
    Financial Services Institute Conference
    February 2011
  • Compliance Round Table: The New Suitability Rule
    May 23, 2012
  • Trends In Securities Litigation
    Compliance Forum Annual Meeting – Fall 2012
  • What is your RIA doing to comply with the identity theft red flag rules?
    Summer 2013
  • Looking into the Crystal Ball: Creating Systems to Comply with Regulatory Intent
    Fall 2013
  • Regulatory & Litigation Developments – Moderator
    Compliance Forum Annual Meeting – Fall 2013
  • Vulnerable clients – state of the client: compliance track (moderator)
    FSI Onevoice conference – January 2014
  • RIA Regulation & Cinema: A movie-goer’s guide to an effective compliance program, October 2014 
  • SEC & FINRA Announce Annual Exam Priorities for 2015
    February 2015
  • “Lunch and Learn: Q&A Session with our Decision Makers”
    HCBA Securities Section Luncheon – April 2015
  • Cybersecurity, AML and Your RIA – Panel Discussion
    Wealth Managers Conference – October 2015
  • Cybersecurity Article for Raymond James (John Holecek)
    November 2015
  • Developing Leaders – SWIFS’ 4th Annual Spring Symposium 2019
  • AV Rated by Martindale-Hubbell, 2004 – present
  • Best Lawyers in America, 2008 – present
    • Commercial Litigation
    • Litigation – Banking and Finance
    • Litigation – Securities
  • Advocate of the Year Award 2019 – Southeastern Women in Financial Services (“SWIFS”)
  • Best Lawyers in America, Lawyer of the Year – Securities 2015
  • Florida Super Lawyers, 2011 – present
  • Tampa Bay’s Top Lawyers, 2008
  • Florida Trend magazine’s Legal Elite, 2007
Recent Blog

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