Financial Services Regulation: Broker Dealer (Compliance)

Securities matters often involve parallel litigation and enforcement proceedings, and our securities enforcement and litigation team has the experience and depth to advise and defend clients in these overlapping areas. We regularly represent public and private companies, financial institutions, officers, directors, and board committees in securities enforcement inquiries and investigations, lawsuits asserting violations of US federal and state securities laws, and shareholder derivative actions. We also counsel clients on the creation and regulation of financial products, guide them through internal and regulatory investigations, and defend them in litigation.

With experience advising financial institutions on the complex issues they face, our securities regulation team counsels clients on issues surrounding the creation and regulation of financial products. The group also provides guidance during examinations and investigations that all of the financial services regulatory agencies conduct, and represents clients during complex litigation when it arises.