SEC and FINRA Defense
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 law violations.
Blockchain, Cryptocurrency, Digital Asset Securities
The firm provides securities regulatory guidance to market participants such as broker-dealers, Alternative Trading Systems (ATS), and investment advisers who seek to expand their business to include Digital Assets. The firm frequently represents its clients before the SEC and FINRA and builds teams of former regulators to address the unique business challenges confronting its clients.
Securities Regulatory Advice
The firm provides advice to broker-dealers, Alternative Trading Systems (ATS), 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