Securities Litigation & Enforcement
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.