White Collar Defense, Government Investigations & Enforcement

FINRA

If you are involved in a FINRA disciplinary hearing or investigation, the consequences can be devastating. Our attorneys work with you to prevent or minimize regulatory problems before they happen. We provide comprehensive solutions to any securities or financial fraud investigation or related litigation.

When enforcement actions do occur, we offer a steady, experienced hand in leading internal investigations and managing a response to regulatory investigations, thus minimizing potential criminal or civil exposure.

Quick Facts


  • Interdisciplinary team comprised of lawyers from our White Collar, Securities Litigation, and Financial Services practices
  • Successfully defended clients in enforcement actions and investigations involving issues of complex financial fraud
  • Arbitration and alternative dispute resolution experience, including proceedings before FINRA
  • Attorneys who have served in government agencies, including:
    • DOJ
    • Securities and Exchange Commission (SEC)
    • UK Financial Services Authority
    • US Attorneys’ Offices
    • State Attorneys’ General Offices

Areas of Focus

  • Disciplinary actions
  • FINRA arbitrations
  • Regulatory investigations
  • Securities fraud
  • Internal investigations
  • Statutory disqualifications

Rankings & Recognitions

  • Attorneys recognized by Chambers USA, Best Lawyers, and Super Lawyers and include the following:
    • Best Lawyers in America “Lawyer of the Year” for Criminal Defense / White Collar (2011)
    • “Top Gun” in Ethisphere Institute’s Attorneys Who Matter (2011)
    • ILO Client Choice Award winner for White Collar Crime (2011)
    • BTI Client Service All-Star (2011)

Representative Experience

  • Helped various broker-dealers respond to AML inquiries from FINRA.
  • Engaged by FINRA to serve as AML expert in enforcement actions.

Representative Clients

  • Broker-dealers
  • Investment companies
  • Financial institutions
  • Individuals, including:
    • Financial analysts
    • Financial advisors
    • Investment bankers
    • Lawyers