Securities Enforcement and Regulatory Defense

Our attorneys have regularly represented brokerage firms and industry professionals during investigations and enforcement proceedings conducted by the SEC, the New York Stock Exchange, NASD Regulation, Inc., state securities agencies and other regulatory authorities, as well as during internal corporate investigations (whether in conjunction with governmental inquiries, litigation, or on a stand-alone basis).

If it appears that a matter against one of your brokers or against the firm has some merit, we can either negotiate a reasonable settlement with the self-regulatory organizations or represent you in contested hearings.