Securities Litigation and Regulatory Matters (SEC, FINRA and States)
We have a nationwide practice defending financial industry members in regulatory, customer and industry disputes. We have defended virtually every type of complaint in both courts and arbitration proceedings. We conduct internal reviews and investigations to gather critical information early in the evaluative process of a claim or government investigation. We assist our clients in developing sound and ethical strategies to counter the inherent problems in the face of ever increasing parallel proceedings being brought by private claimants and the regulatory efforts of the SEC, the Department of Justice and by numerous state regulators. These issues have included insider trading, pay to play, earnings management, fraud and failure to supervise.