Regulatory Defense

Defend individuals and entities in SEC, DOJ, CFTC, FINRA, PCAOB, state securities and insurance regulatory investigations and inquiries, as well as civil and criminal investigations

Private Civil Litigation

Represent individuals and business entities in FINRA and NFA arbitrations involving both customer and industry disputes, as well as securities litigation in federal and state courts

Compliance and Internal Investigations

Conduct internal investigations and risk avoidance reviews for financial institutions and individuals, as well as providing back office assistance/reviews of procedures, preparation of manuals, customer documents, and licensing issues


Create and maintain broker-dealers, investment advisers, hedge funds, and preparation and review of all filings and compliance materials and contracts, including, but not limited to, employment, intellectual property, licensing, and clearing agreements

Additional Services include:

  • Litigation – State or Federal courts or Arbitration for Civil Matters
  • Litigation – State or Federal courts for Criminal Matters
  • Self-Regulatory Organization Investigations Proceedings
  • Regulatory Compliance with Self-Regulatory Organizations