SEC Investigations & FINRA Matters:

The firm has represented clients in a broad spectrum and SEC and FINRA investigations and enforcement actions, dealing with issues such as fraudulent misrepresentation, pump-and-dump schemes, licensing issues and regulatory violations.

Some representative matters our attorneys have worked on include the following:

• Represented two mutual funds that lost over $2 billion in assets under management in SEC enforcement action involving allegations of misrepresentations in offering documents about investment strategy, diversification and impact of the global financial crisis

• Represented company in SEC investigation pertaining to allegations of misrepresentations in connection with fraudulent accounting practices and restatement of financials

• Represented investment adviser in SEC investigation relating to allegations of failure to disclose conflicts of interest

• Represented numerous clients in SEC investigations involving alleged pump-and-dump schemes

• Represented investment adviser in SEC investigation involving handling of auction rate securities

• Represented numerous advisers and/or broker-dealers in FINRA enforcement matters pertaining to misrepresentations made to clients and violations of various rules and regulations

• Represented numerous clients in NFA enforcement proceedings pertaining to failure to supervise, failure to cooperate with investigation and violations of various rules and regulations