Regulatory & Criminal Law
Attorneys in the litigation department have experience in disputes involving regulatory and criminal law. Some of the matters in which the Firm’s attorneys have been involved include:
- Representation of a U.S. broker dealer in an NASD arbitration involving multimillion dollar employment, whistleblower and defamation claims arising out of statements made in a Form U-5 and involving complex securities issues relating to allegations of mispricing of illiquid investment grade, convertible and high yield bonds and the effect thereof on regulatory filings of the broker/dealer
- Representation of an offshore reinsurer in an NASD arbitration involving its investment in a limited partnership
- Representation of various companies and individuals in formal and informal investigations conducted by the SEC, the United States Attorney’s Office, the Attorney General’s Office and the District Attorney’s Office
- Representation of various registered representatives, broker dealers and others in investigations conducted by the NYSE, NASD and other self-regulatory agencies
- Grand jury investigations and criminal trials in complex fraud cases, including mail fraud, wire fraud and tax evasion allegations
- Representation of an attorney in state disciplinary proceedings