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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