Regulatory & Enforcement Defense

On behalf of broker-dealers, registered representatives and investment advisers, we provide comprehensive counsel to defend clients facing investigations and enforcement proceedings, particularly those that involve allegations of market timing, record-keeping violations and assorted FINRA rule violations. We have appeared before FINRA, the New York Stock Exchange and state agencies.  

 

Our founding member’s in-house legal experience at three New York Stock Exchange member firms guides our approach; we are successful when the regulatory scrutiny is concluded without further action and our clients can focus on continued success in their business dealings.