The Trusted Advocate



We are regularly called upon by clients to represent them in matters initiated by the U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission including investigations, contested proceedings, and negotiated settlements. Our highest priority in these matters is to avoid charges and any need for settlement, and much of the Firm’s work has resulted in determinations by the enforcement divisions of these agencies not to bring proceedings. When appropriate in specific circumstances, the Firm brings to bear decades of experience in hundreds of matters to achieve client resolutions. The Firm is also fully prepared to bring to trial matters that cannot be settled. For example, the Firm recently tried SEC v. Duka, in which following a multiple week trial and years-long investigation, the Judge ruled against the SEC on its claims of fraud and denied the equitable relief sought by the Commission.

Our clients in SEC and CFTC enforcement proceedings include officers and directors of public companies, managing directors of financial institutions, investment advisors and hedge funds, as well as principals and managers of such firms, broker dealer executives, managers and firms, securities, commodities and foreign exchange traders and trading supervisors, and accountants, lawyers and compliance professionals, and our past and current engagements encompass issues across the spectrum of subject areas investigated by the SEC and CFTC, including financial statement reporting, investment bank and ratings agency research, alleged insider trading, secondary market mortgage-backed securities trading, “dark pool” trading services, mutual fund market timing, FCPA investigations, alleged trading benchmark manipulations, alleged futures manipulation in the energy markets, and alleged investment adviser fraud and fiduciary misconduct. With the experience gained in these numerous matters, the Firm consistently guides clients toward effective strategies to deal with each stage of the enforcement proceeding.

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Other Enforcement Matters


The Firm’s regulatory enforcement experience also includes the representation of entity clients and individuals in matters before federal, state and New York City regulatory agencies with specific subject matter concentrations.

On the federal level, for example, our lawyers have represented entities and individuals in matters spearheaded by the enforcement arms of the Federal Reserve, the Federal Communications Commission, the IRS and the Chemical Safety and Hazards Investigations Board. The Firm, on behalf of companies, corporate officers, healthcare professionals, and senior health care sector personnel, has extensive experience in all manner of healthcare investigations and proceedings, including federal and state qui tam matters regarding alleged false claims and kickbacks.

At the state level, the Firm’s attorneys have represented clients in inquiries led by the New York Division of Financial Services, the Office of the Attorney General of New York Investor Protection Bureau, the New York Attorney General’s Charities Bureau, the New York Department of Health, the New York City Department of Investigation, and the New York City Conflicts of Interest Board.

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