Securities Regulation & Enforcement

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Securities Regulation & Enforcement

We have represented individuals and companies in securities regulation and enforcement matters, both regulatory and criminal, before the SEC, FINRA, and DOJ.

Representative Matters

  • Represented fund manager charged with front-running and other violations in SEC cease-and-desist proceedings.
  • Represented securities broker in FINRA arbitration brought by clients alleging that broker’s employee operated Ponzi scheme.
  • Represented businessman charged with insider trading.
  • Represented investment bank analyst charged with insider trading.
  • Represented businessman charged with “pump-and-dump” scheme.
  • Represented hedge fund in connection with charges of stock price manipulation.

Ellerman Enzinna
is now
Ellerman Enzinna Levy

Ellerman Enzinna is pleased to announce that on February 1, 2022, Michael N. Levy has joined the firm as a partner.

The firm’s name is now Ellerman Enzinna Levy PLLC.