Securities Regulatory Enforcement

WHAT WE DO

Securities Regulatory Enforcement

We represent senior executives, officers, directors, brokers, financial advisors, investment advisors, sales assistants, managers, and other registered representatives, as well as hedge funds, broker-dealers, investment advisers, and financial institutions in Securities and Exchange Commission (S.E.C.), Financial Industry Regulatory Authority (FINRA), other federal regulatory, state regulatory, and internal inquiries, on-the-record (OTR) interviews, investigations, enforcement actions, and administrative and civil hearings involving trading issues, fraud/misrepresentation/omission, ponzi and pyramid schemes, money laundering, insider trading, RICO, and violation of other federal or state securities laws.

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