Securities Industry Regulatory Compliance and Litigation

We are experts at keeping our clients protected in transactional matters to avoid costly opportunities for shareholders and regulators to rock the corporate boat. Unfortunately, not everyone comes to us for our transactional representation.

With SEC-registered investment company and investment adviser clients being audited by regulators on a profile basis, and private securities offerings and smaller reporting companies being targeted by regulatory task forces, we recommend that regulated businesses perform periodic internal compliance reviews to detect and cure problems before they can damage the company or harm an investor. Such reviews should be performed by an attorney familiar with litigation risks and SEC and SRO rules and practices – experience that we possess. We also register new entrants into the regulated investment adviser and broker dealer world. Our clients benefit from our enforcement perspective when we prepare their background  and firm practice disclosures.

Regulatory inquiries and litigation may come despite the best intentions and practices of the business. Having experienced SEC counsel by your side can make all the difference, particularly in the early stages of a non-public regulatory inquiry or investigation. Making the wrong moves during an investigation can result in expensive litigation and damaging negative publicity.

Coming to us immediately after preliminary contact with regulators gives us the best chance to steer you out of harm’s way and keep careers and reputations intact. Nevertheless, businesses and individuals sued by regulators or shareholders can benefit from our inside-the-SEC expertise, and we know which buttons to push to steer a case towards a defense verdict. Sometimes the only option is to go to trial, and we have taken clients all the way in both jury trials and trials by judge.

We have one of the leading securities enforcement and litigation practices in the USA focusing on keeping our clients in compliance with financial regulatory requirements and out of expensive, high-profile financial litigation nationwide and across a variety of industries.

Our team includes a former assistant regional director from the Division of Enforcement of the U.S. Securities and Exchange Commission. Our securities counsel has served scores of clients in her private sector career to minimize their legal exposure or mitigate their damages. We can help to protect your business and safeguard your reputation, your company, and your career.