The highly regulated securities and financial industry has a host of complex problems. Financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. That is where Fox Rothschild’s Securities Industry practice group can help.
Our attorneys have handled hundreds of arbitrations, SEC, SRO, and state investigations. We represent financial institutions, registered broker-dealers, insurance companies, financial advisors, hedge funds and individuals in the securities, commodities and insurance industry, private and public, regulatory and governmental inquiries, investigations, and civil and criminal litigation. We also assist individuals and business entities in the establishment of broker-dealers, hedge funds, investment advisers and other financial service institutions.
Our attorneys have handled complex civil and criminal matters in state and federal courts. We have also helped resolve a variety of issues through alternative dispute resolution. We help our clients respond to requests from the SEC or other self-regulatory organizations and vigorously defend our clients from notice to trial or arbitration. When faced with regulatory matters – including SEC investigations, state securities investigations, and more – we have helped our clients achieve results quickly and cost-effectively. Working closely with our White Collar Compliance & Defense Practice , we offer a comprehensive defense against criminal matters as well.