FINRA and SEC Proceedings, Inquiries and On the Record Interviews

We have a great depth of experience representing public and private companies, officers and directors, securities firms and their registered professionals in a wide range of proceedings including:

  • NYSE and FINRA securities arbitrations;
  • federal and state commercial litigation;
  • Nasdaq delisting proceedings;
  • securities related employment and customer disputes; and
  • SEC, NYSE and FINRA investigations and enforcement actions.

These matters range from routine investment claims to sophisticated securities fraud actions and enforcement proceedings involving:

  • 10b-5 claims;
  • officer and director liability;
  • improper disclosure;
  • market manipulation
  • trade reporting violations;
  • failure to supervise;
  • clearing and trading irregularities;
  • research conflicts of interest, and
  • sales practice rule violations.