Prominent Financial and Regulatory Counselors

Regulatory Investigations & Enforcement Proceedings

Members of our Financial Regulatory practice group have successfully represented clients in investigations and enforcement proceedings before an array of agencies and self-regulatory organizations, including the SEC, CFTC, FINRA, NYSE, NFA, CBOE, CME, CBOT and OneChicago. These investigations and proceedings have related to a wide range of activities by members of the financial services community, including broker-dealers, traders, RIAs, and FCMs, their individual advisers, officers, directors and employees, and other industry professionals, such as auditors, who advise them.

Much of our success is due to the professional experience of the members of our practice group. Our attorneys not only have extensive experience representing members of the financial services industry before regulatory authorities, but also have formed strong consultative relationships with counsel who work for the SEC, state regulatory agencies, and exchanges conducting inquiries that allows our firm to draw upon as well. The depth of our experience assists us in anticipating the direction of investigations and enforcement proceedings and in structuring resolutions with regulators, which effectively serves our clients’ interests.

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