Regulatory

In the wake of the worst financial crisis since the Great Depression, the current regulatory landscape has shifted dramatically.  With landmark legislation such as the Dodd-Frank Act, and the rigorous enforcement of existing rules, the regulatory climate has never been as challenging to institutions and individuals as it is today.  We recognize that a regulator’s inquiry can cause potential reputational harm and oftentimes portends additional related issues.  From the outset of an engagement, we work with our clients to formulate a proactive and effective defense strategy that not only bears on the core issues, but also considers potential peripheral issues and collateral consequences.

The firm’s lawyers have represented clients in numerous enforcement investigations and proceedings involving the SEC, FINRA, other self-regulatory organizations, and Federal and state regulators.  We have the necessary experience to guide our clients through every phase of the enforcement process, including informal inquiries, formal investigations, the Wells process and administrative proceedings.