SEC AND FINRA DEFENSE ATTORNEY

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.