We represent clients in governmental and regulatory matters, including before the SEC, FINRA, OCC, FDIC, and DOJ.

Our aim is to resolve investigations proactively, addressing investigative concerns outside of litigation. But, if a trial or other proceeding is unavoidable, we apply our extensive trial experience to zealously defend our clients.

Our experience includes:

• Defending against SEC allegations of fraud and other wrongful conduct in the selling of variable annuities.

• Defending SEC-registered investment advisers again allegations of conflicts of interest other wrongful conduct.

• Defending hedge fund managers, corporate officers, and others in parallel DOJ and SEC cases.

• Responding to Wells notices and persuading the SEC staff not to pursue charges.

• Multiple arbitrations, jury trials, and other representations in response to allegations of wrongdoing.

• Responding to deficiency letters

• Conducting internal investigations relating to missing funds, stock option backdating, accounting for vendor rebates, and other corporate issues.

• Representing numerous directors, executives, traders, and other individuals in insider trading and financial fraud investigations conducted by the SEC.

• Submitting whistleblower complaints to the SEC and OCC.

• Representing bank officers against allegations of policy violations.