We have represented companies, their principals and employees and other individuals in a broad range of civil and regulatory matters, including investigations before the U.S. Securities and Exchange Commission, the U.S. Department of Justice, the Financial Industry Regulatory Authority, the Public Company Accounting Oversight Board, various state regulators and Self-Regulatory Organizations in the financial services industry. We serve clients in multiple industries, including financial services, proprietary trading, retail, real estate, manufacturing, pharmaceutical and accounting.
Our attorneys have particular expertise across a range of regulatory issues affecting the financial services industry, including market manipulation, financial fraud, registration, sales practices and possible insider trading. We have defended clients against allegations of accounting and financial fraud, improper trading and underwriting practices by brokerage firms, insider trading and market manipulation, as well as violations of laws and regulations governing investment advisory services and securities offerings. We also conduct corporate and internal investigations for our clients in matters involving regulatory issues across the securities and financial services industries, including whistleblower complaints.