SECURITIES REGULATION AND ENFORCEMENT

We have represented individuals and companies in securities regulation and enforcement matters, both regulatory and criminal, before the SEC, FINRA, and DOJ.

Representative Matters:

  • Represented fund manager charged with front-running and other violations in SEC cease-and-desist proceedings.
  • Represented securities broker in FINRA arbitration brought by clients alleging that broker’s employee operated Ponzi scheme.
  • Represented businessman charged with insider trading.
  • Represented investment bank analyst charged with insider trading.
  • Represented businessman charged with “pump-and-dump” scheme.
  • Represented hedge fund in connection with charges of stock price manipulation.