Practice Areas

SEC FINRA CFTC FTC Enforcement

        We represent clients in connection with examinations, inquiries, investigations, and actions brought by the SEC , FINRA, CFTC, FTC, State of Florida Attorney General's Office, state securities agencies, and the Department of Justice.

        Potential clients include broker-dealers, investment bankers, securities analysts, traders, registered representatives, investment advisers, public companies and their officers and directors, hedge funds, accountants, promoters and private investors.  We have extensive experience in matters involving insider trading, broker-dealer regulations, securities fraud, investment adviser fraud and public company disclosure.

        Securities Counseling and Compliance:  We also provide counseling to broker-dealers, registered representatives, investment advisers, public and private companies, hedge funds, technology vendors, other securities professionals and private investors regarding registration, compliance, reporting, disclosure and trading issues.