Securities Industry Litigation and Regulatory Counsel
We are trusted advisors for litigation and regulatory enforcement matters. When disputes arise – in the enforcement, customer and employment context – we are skilled negotiators, using every available resource to protect our clients and minimize disruption to their business. When litigation is unavoidable, however, we are tenacious advocates with time-tested experience before state and federal courts and regulatory bodies, and in a broad range of arbitration and mediation settings.
Leveraging decades of collective experience in the financial services sector, our firm was established to help clients respond to this rapidly changing environment and highly complex marketplace.
New York Securities Industry Regulatory Defense / SEC / FINRA Attorneys
As regulators jockey for position and their scrutiny of the financial markets grows ever more aggressive, industry participants need to be proactive and aggressive in their response to inquiries. On behalf of broker-dealers, registered representatives and investment advisers, we provide comprehensive counsel to defend clients facing “sweep” inquiries, investigations and enforcement proceedings, particularly those that involve allegations of market manipulation, insider trading, record-keeping violations and assorted FINRA rule violations. We regularly appear before FINRA, the SEC, the CFTC, and state agencies. Our founding member’s in-house experience at a registered broker-dealer consistently guides our approach; we are successful when the regulatory scrutiny is concluded without further action and our clients can focus on continued success in their business dealings.
http://www.herskovitslaw.com/new-york/securities-industry-regulatory-defense
