The firm represents entities and individuals across the United States who are under investigation by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice (DOJ), state securities regulators (e.g., NY Attorney General’s office) and other law enforcement or regulatory agencies for securities-related violations. The firm is focused on representing broker-dealers, registered representatives, investment advisers, investment platforms and Title III crowdfunding portals, issuers and their officers, directors and agents in government white collar, regulatory and self regulatory organization investigations and enforcement actions. Services include: responding to subpoenae and FINRA Rule 8210 requests, and litigating SEC and FINRA regulatory matters through trial.
The firm provides securities regulatory guidance for regulated intermediaries such as broker-dealers, funding portals and investment advisers who seek to expand their business model to include Digital Securities in the Blockchain ecosystem. The firm regularly represents its clients before the SEC and FINRA.
The firm provides advice to its clients to comply with the requirements of the federal securities laws, including the 1933, 1934 and 1940 Acts, state blue sky laws, and FINRA and SRO rules.
The firm provides represents and provides advice to broker-dealers, investment advisers and Title III funding portals and others throughout the United States to meet the requirements of the federal securities laws and rules and regulations of the SEC and FINRA, including:
anti-money laundering (AML); blockchain and security token offerings, secondary trading, compliance with the federal securities laws; the preparation of written supervisory procedures, including supervisory control procedures; identifying weaknesses or vulnerabilities, and improving compliance programs; compliance with new rules; meeting fiduciary duty standards and managing conflicts of interests; advertising, including social media; identification of regulatory and legal risks and identifying proactive solutions to address these issues; safe harbors under the federal securities laws; the appropriateness and legality of certain compensation, fees, commissions and/or other charges; due diligence for offerings or products, including the sale of complex products to retail investors; accredited investor verification; and formation and registration of broker-dealers including Alternative Trading System (ATS), investment advisers and Title III funding portals.