Experience Highlights

Defense of a national investment banking firm in investigations and settlements
Represented a national investment banking firm before a NASAA multi-state task force investigation, negotiation and settlement with all 50 states of more
Representation of broker-dealer before state securities agency
Defended a securities broker-dealer before a state securities regulatory agency on allegations of sales practice and supervisory violations resulting more
Representation of investment manager in investigations
Successfully navigated an investment manager facing charges of criminal conduct, bankruptcy, and SEC and state investigations. more
Assessing litigation risk for foreign investment bank
Assisting foreign investment bank in assessing litigation risk associated with potential acquisition of subsidiary in New York and advising on more