We advise brokerage firms, investment advisers, hedge funds, futures commission merchants, banks, other financial institutions, corporations, and their officers, directors and employees in federal and state courts across the nation, as well as in arbitrations and proceedings before the SEC, NYSE, NASD, NYBOT, CBOT, NFA, CBOE, CFTC, OCC and various state securities departments.
You can rely on our experience in shareholder derivative suits, class actions, sophisticated stock and commodities fraud claims, § 10(b) and Rule 10b-5 claims, RICO claims, common law fraud claims, claims arising from hedge funds, Ponzi schemes, sales practice abuses, market manipulation, insider trading, and liquidations of margin accounts.
The securities industry is facing unprecedented attention on compliance with securities laws and the government’s rigorous investigations of misconduct, so every advantage is crucial. We are proud to offer our clients the services offormer federal and state prosecutors, former SEC enforcement attorneys and former state and federal public defenders. Our team also includes attorneys with in-house experience who have a special appreciation of your perspective—because they’ve walked a mile in your shoes.
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