Guiding Clients Through a Wide Array of Matters
Our attorneys guide clients through a wide range of regulatory matters, including requests for exemptive or no-action relief from the United States Securities and Exchange Commission and other agencies. Together with our litigation and securities regulation and enforcement attorneys, we regularly represent investment management, broker-dealer and other service provider clients in a variety of investigations, examinations and enforcement proceedings by federal and state authorities. Likewise, we act for these clients in addressing and defending civil and criminal claims brought by government agencies and private plaintiffs, including investors, counterparties and partners, whether in state or federal court, a self-regulatory organization arbitration or an alternative dispute context. Our experience in the underlying investments and structures enables us to respond quickly and vigorously.