Charles Maxwell Simpson, "Max" for short, represents investors, investment advisers, businesses, and individuals in securities litigation, business disputes, and regulatory matters. He combines substantial courtroom and arbitration experience with practical counsel to help clients protect their financial interests, businesses, and livelihoods.
Mr. Simpson represents clients in FINRA arbitrations and litigation in state and federal courts. His securities practice includes pursuing investment fraud claims for investors and defending companies and their owners against securities enforcement actions. He regularly practices before the Missouri Commissioner of Securities and represents registered investment advisers in regulatory examinations. His experience on both sides of securities disputes informs his evaluation of claims, defenses, and litigation strategy.
For financial advisers and business owners, Mr. Simpson provides counsel on contractual obligations and disputes that can shape their careers and the future of their businesses. He negotiates agreements and litigates matters involving non-competition and non-solicitation restrictions, adviser transitions, and other commercial disputes. He also advises clients on corporate transactions and regulatory compliance.
Mr. Simpson’s broader litigation experience includes consumer protection, fraud, negligence, and contract claims. He works directly with clients to understand their priorities, assess their options, and develop a strategy aligned with their goals. His approach emphasizes thorough preparation, candid advice, and clear communication, whether a matter calls for a negotiated resolution or advocacy in court or arbitration.
Representative Experience
- Financial adviser transition: Negotiated a financial adviser’s departure from his former firm, enabling him to retain his entire book of business despite non-competition and non-solicitation restrictions.
- Business defense: Defended a small business against claims by its owner’s former employer that the business’s flagship product had been developed during the owner’s prior employment. Successfully opposed the preliminary injunction and negotiated a resolution.
- Investment adviser examinations: Represents registered investment advisers in regulatory examinations conducted by the Missouri Commissioner of Securities’ Examination Department.
- Securities enforcement defense: Defends companies and their owners against investment fraud claims brought by the Enforcement Division of the Missouri Commissioner of Securities.
Professional Leadership and Background
Mr. Simpson currently serves as Chair of The Missouri Bar’s Administrative Law Section. He is the former Chair of the Bar Association of Metro St. Louis’s Securities Law Section.
Before partnering with David Cosgrove, Mr. Simpson was a senior associate at a large defense firm, where he represented insurers, businesses, and individuals in civil litigation throughout Missouri. He handled cases from initial investigation through trial, developing a broad litigation foundation in employment discrimination, product liability, construction defects, premises liability, and insurance coverage disputes.
Mr. Simpson earned his law degree, cum laude, from the University of Missouri–Kansas City School of Law, where he served as Literary Editor on the UMKC Law Review Board and Chapter Vice President of the Phi Delta Phi Legal Honor Fraternity. He holds a Bachelor of Science in Biology from the University of Missouri–Columbia.