SECURITIES ENFORCEMENT DEFENSE

Securities Counseling

Working closely with the our business attorneys, particularly those in our Investment Funds and Advisers practice, members of the Securities Enforcement Defense Group draw on their experience in enforcement actions, and with the agencies involved, to help clients avoid regulatory problems before they begin. In addition to counseling clients on the broad array of enforcement issues under federal and state securities laws and Self Regulatory Organization rules, the Group’s attorneys conduct internal corporate investigations and compliance audits and assist clients in responding to regulatory inspections of broker-dealers and investment advisers.

 

 

 

 

HIGHLIGHTS

SLUSA’S Potential Catchall Consolidation in Covered Class Actions by Jason P. Lee as published in The American Bar Association Securities Litigation Journal more >>

Jason P. Lee interviewed in Conference Call Examines Registration Ruling as published in www.hedgefund.net  more >>

Securities Litigation Roundtable with Jahan Raissi as published in California Lawyer Magazine more >>

What D&Os Should Know About SEC Fraud Investigations by Jason P. Lee as published in Compliance Week  more >>

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