Securities Enforcement & Regulatory

With experience spanning from the Enforcement Divisions of the Department of Treasury’s Office of the Comptroller of the Currency and the Securities and Exchange Commission, District Attorney’s Office, and New York State Department of Financial Services, our lawyers leverage their regulatory experience to advise clients about financial product and services litigation that accompany industrywide inquiries. We also rely upon our industry experience at financial services companies and a Big Four consultancy to avoid following the herd regarding industry developments and focus our efforts on gathering competitive intelligence to advise clients proactively so that they can manage risk.

Representative Engagements

  • Representation of financial services companies in arbitration proceedings related to the collapse of Puerto Rico municipal securities market in 2012 – 2013.

  • Representation of broker-dealers in a multi-agency investigation of auction rate securities practices, suitability and supervision.

  • Representation of a financial service company in connection with alleged markups of U.S. Treasury securities sold to municipalities.

  • Represented a former equity trader in connection with an alleged violation of Section 17(e)(1) of the Investment Company Act of 1940.

  • Representation of financial services professionals in SEC investigation alleging a trader received and traded on material non-public information before merger and failed to supervise.

  • Representation of a major securities firm and two former supervisors before the SEC and FINRA in connection with allegations of improper “front running” of non-public information from research sectors of the bank.

  • Representation of a promoter in an SEC investigation alleging fraud in connection with a film financing transaction.

  • Representation of a chief operating officer in an SEC investigation regarding a hedge fund disclosure violation.

  • Represented a trader at a regional broker-dealer whom the SEC alleged to have traded in the target company’s securities before its acquisition by a video game manufacturer.

  • Represented a branch manager of a national broker-dealer in an SEC investigation alleging failure to supervise trading activities of employees in the manager’s branch office.