We have extensive experience successfully representing broker-dealers, hedge funds, traders, brokers, and corporate executives in a wide array of investigations by the U.S. Attorney's Office, S.E.C., FINRA, and a number of state attorneys general and securities departments.
Our attorneys have represented broker-dealers and hedge funds in enforcement matters and internal investigations concerning accounting fraud, stock loan programs, misleading sales literature, training programs, gift policies, check-cashing programs and market timing. We have successfully represented dozens of individual brokers, traders and hedge fund executives in matters including securities fraud, marking the close, trading ahead of clients, churning, suitability violations, and insider trading. We have also represented a number of corporate CEOs, CFOs, and CCOs before the S.E.C. and FINRA in matters concerning accounting fraud, aiding and abetting fraud, REGSHO violations, net capital deficiencies, and an array of other securities and accounting related matters.