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Our securities litigation and enforcement practice
is national in scope and represents clients in
all major areas of securities law. We represent
brokers, investment advisors, financial planners,
and broker-dealers before self-regulatory agencies,
state and national regulatory agencies, for customer
disputes and shareholder class actions.
Our team advises clients on avoidance of problems
and disputes by working closely with clients on
compliance, regulatory issues, and disclosure
requirements. The key is to develop sound preventative
steps, procedures to recognize potential issues
and remediation measures. We also have an experienced
team that can handle internal and government investigations
on behalf of boards of directors or committees,
and provide an efficient and cost-effective defense
of directors, officers and employees of a publicly-traded
company.
We have extraordinary experience representing
brokers, investment advisors, financial planners,
and broker-dealers before self-regulatory agencies,
state and national regulatory agencies, and in
customer disputes and shareholder class actions.
We also provide counseling on how to avoid regulatory
pitfalls, by holding continuing education seminars
and implementing trading programs.
* Denotes Practice Area Leader
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