Securities Defense Attorneys

From our offices in New York and New Jersey, our lawyers have been representing broker-dealers, investment advisors and individual investors in litigation and investigations conducted by FINRA, the SEC, the NASD, the NYSE and state regulators, on virtually every type of sales practice violation, insider trading matters, as well as net capital violations, market timing, market manipulation and other enforcement matters. For a summary of our more interesting cases, visit our cases page.

Whether your matter is in the investigation stage, or proceedings have been commenced, or even in the instances of a referral for possible criminal prosecution, we can provide effective representation to you in either resolving the matter, or taking it through discovery and a hearing.

Our services also include representation of firms and individuals before the SEC, the NYSE, the NASD, and the state regulators in connection with responses to a Wells Notice, license hearings, MC400 hearings, requests for exemptive and "no-action" relief and representation in connection with compliance examinations, responses to U-5 reviews and exams as well as regulatory inquiries, investigations and enforcement proceedings.