Representing a client in a securities enforcement matter, whether an individual or Fortune 500 company, presents challenges which require particular knowledge and strategic thinking different from that used in ordinary civil or commercial disputes. The mere initiation of an enforcement action by a securities or commodities regulator can cause irreparable harm to a client's reputation and business interests. When faced with a regulatory or enforcement matter, we promptly partner with our clients to develop a suitable and proactive strategy to minimize the disruptive effects occasioned by regulatory scrutiny.

Our firm was founded by a former Chief Attorney of the U.S. Securities and Exchange Commission's New York Enforcement Division and current members include former regulatory attorneys with U.S. Securities and Exchange Commission and New York Mercantile Exchange. Over the past 30 years, this law firm has defended against countless formal and informal enforcement actions and regulatory proceedings initiated by the SEC, NASD, NYSE, AMEX and State Attorneys General. We carefully represent clients at each stage — from an informal inquiry, though the investigative process including on-the-record testimony and the "Wells" process, at trial or hearing, and on appeal.

We have defended individuals, issuers, underwriters, investment banks, broker/dealers, hedge funds, officers and directors in connection with the following regulatory or enforcement matters:

• Failure to supervise.
• Market timing.
• Sales practice violations.
• NASD Rule 3070 violations.
• Forms U4 and U5 reporting violations.
• Front running.
• Interpositioning.
• Insider trading.
• Market manipulation.
• Trading issues.
• Market making issues.
• Advertising violations.
• Blue Sky violations.
• Floor trading issues.
• Research issues.
• Written supervisory procedures issues.
• Taping rule issues.
• NASD Rule 1017 violations.
• Market-on-close issues.

Contact Martin H. Kaplan, Esq., Robert L. Herskovits, Esq., David A. Gehn, Esq. or Contact Us online.

Our related practice disciplines include regulatory and enforcement, broker/dealer advisory services, commercial and employment litigation, corporate and securities, and white-collar criminal defense.

Contact us online or call us today at 212.269.1400.