We represent clients in connection with investigations and charges of securities fraud and alleged regulatory violations. These matters include enforcement proceedings brought by the SEC and the Financial Industry Regulatory Authority ("FINRA"). We recently represented a NYSE specialist who was charged - both criminally and in regulatory proceedings before the SEC and NYSE - with securities fraud and regulatory violations. After persuading the U.S. Attorney's Office to drop its criminal prosecution of our client, we also defended him in a lengthy SEC enforcement trial. We also have experience both commencing and defending securities arbitrations in connection with suitability and broker-customer cases.

Our attorneys, administrative staff, assigned investigators and auditors can find, analyze, and present the factual and technical data necessary to every client's legal issues.We believe in intense factual analysis, a full understanding of the legal issues in the client's situation and vigorous advocacy on the client's behalf. Give us the unique opportunity to be of value to you. Contact us today.