Regulatory & Enforcement

Overview

We defend broker-dealers, registered investment advisers, and their associated persons facing government action, including investigations and enforcement actions by government regulators and self-regulatory organizations. We understand the significant harm to business and reputation these events can inflict, including the potential for stiff monetary penalties, suspensions, or bars. Firms and individuals, including control persons, increasingly find themselves facing the threat of zealous government investigations involving the potential for civil or administrative proceedings, or referrals to law enforcement.

We defend clients before the SEC, the CFTC, the Financial Industry Regulatory Authority, the Florida Office of Financial Regulation, and other federal and state regulators. Our lawyers have represented clients in regulatory enforcement matters involving potential or alleged violations of federal and state securities laws, and industry rules and regulations. We are well versed in the language, regulations, rules, policies, and processes of the government agencies and SROs that enforce these laws and offer clients the experience, insights, and judgment needed to successfully navigate these difficult proceedings.

Representative Matters

• Investigations and enforcement actions by the SEC, CFTC, FINRA and other government agencies and SROs
• Inquiries, investigations, and actions by Florida’s Office of Financial Regulation (OFR), Department of Financial Services (DFS), and Attorney General, and similar agencies in other states
• Regulatory inquires and investigations by other States
• Internal investigations
• Disciplinary matters
• Inquiries and actions by other accrediting organizations like Certified Financial Planner Board ®

Areas of Concentration

• Securities and Financial Services Litigation
• Non-compete & Raiding Litigation
• Partnership Disputes
• Class Action Litigation