Our team regularly defends institutions and individuals in connection with investigations and actions brought in federal courts and administrative forums by the U.S. Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), Court-appointed Receivers, State Attorneys General, and self-regulatory organizations including the National Association of Securities Dealers, New York Stock Exchange, and American Stock Exchange.

Our attorneys have prosecuted and defended complex securities claims in federal district and appellate courts involving market manipulation, fraud, and various other provisions of the federal securities laws, rules and regulations.

Contact Martin H. Kaplan, Esq., Robert L. Herskovits, 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.