Our work includes representation of:

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• Individuals and companies in SEC and FINRA enforcement investigations and proceedings
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• Audit Committees and individuals in connection with internal investigations, primarily involving allegations of accounting fraud
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• Whistleblowers in SEC and CFTC enforcement actions
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• Clients of SEC-registered brokers and investment advisors seeking to recover losses caused by misappropriation of client funds and fraudulent/negligent financial advice, including FINRA arbitration proceedings
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• Individuals and companies in Federal and state court civil actions arising from sales of securities and disputes among business partners