Lawrence Kamin represented the chief compliance officer of a broker-dealer in a FINRA investigation into soft dollar expenses. Our effective defense strategy resulted in the CCO’s avoidance of liability.

A principal in a private equity fund enlisted Lawrence Kamin to represent him in an SEC investigation. The settlement achieved continues to be recognized as one involving a novel interpretation of investment adviser and broker-dealer law.

Lawrence Kamin defended its military contractor client against a whistleblower complaint lodged with the United States Air Force. The complaint threatened the client’s approved military contractor status. At the conclusion of our work, which included meetings with senior officials at the Pentagon, our client was allowed to maintain its approved status and continue its military […]

Lawrence Kamin defended a corporate officer in an insider trading investigation of his company’s stock. Our firm successfully resolved the matter and helped our client minimize the sanctions imposed.

At the request of the independent directors of a mutual fund, Lawrence Kamin conducted a successful internal investigation into valuation issues. When regulatory investigations were later initiated, our firm was called upon to testify before the SEC.

Lawrence Kamin attorneys successfully defended and helped minimize liability for the chief financial officer of a publicly-traded company in a well-publicized accounting irregularity investigation.

In an FBI investigation into public corruption and municipal securities law violations, Lawrence Kamin represented an executive of a broker-dealer. The FBI closed its investigation and no charges were brought against our client.

Lawrence Kamin successfully represented a mutual fund portfolio manager in a federal regulatory investigation focused on valuation of fund assets. The regulator chose not to file an enforcement action against our client.