SEC & FINRA INVESTIGATIONS
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All Areas of Practice
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We represent clients in investigations, examinations and enforcement proceedings before the Securities and Exchange Commission, as well as state securities agencies. We have extensive experience in all phases of the investigatory process, from responding to inquiries and subpoenas, to representing clients in on-the-record examinations. We also have significant experience in representing clients in civil enforcement actions brought by the SEC for alleged violations of securities laws and regulations.