Strategic Defense Grounded in Government Experience
Our team includes former enforcement lawyers from FINRA and the NYSE as well as prosecutors from the Department of Justice.
With that experience, our attorneys have instant credibility with regulators and can devise effective strategies, manage evolving inquiries efficiently and leverage long-standing relationships with agency decision-makers.
Beyond handling regulatory inquiries and enforcement actions, we conduct internal investigations related to whistleblower allegations, regulatory reporting and remediation. We advise on matters ranging from insider trading, accounting fraud, disclosure violations, broker-dealer supervision, market manipulation and investment adviser compliance. A key focus of our practice includes leadership in emerging areas such as digital assets and crypto regulation.