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.