We have deep experience with the SEC and other financial regulators because we have served in attorney and staff positions there. With first-hand knowledge of government decision making, enforcement practices and personnel, we have the insight necessary to develop a strategy for the specific needs of each matter and each client. As a result of our invaluable experience, we are able to fully assess the risk of each particular case, objectively convey those assessments to clients, and successfully negotiate favorable resolutions for clients.
We represent clients from the initial inquiry stage through formal investigations, enforcement and litigation in matters involving the SEC, CFTC, FINRA, state attorney general and state securities regulators. We counsel clients on Wells Notices and Submissions, subpoena responses, discovery, document production, depositions and on-the-record interviews.