Securities Regulation

  • SEC & FINRA Investigations & Inquiries
    State Financial Investigations
    SEC Administrative Proceedings
    SEC Examinations
    Unregistered Offerings
    Temporary Restraining Orders (TROs)
    Preliminary & Permanent Injunctions
    Insider Trading
    Market Manipulation
    Pump & Dump Schemes
    Ponzi Schemes
    Misrepresentations in Public Filings
    Collateralized Mortgage Obligations (CMOs)
    Collateralized Debt Obligations (CDOs)
    Court-appointed receivers
    Mutual Funds
    Hedge Funds
    Accounting Fraud
    Internal Investigations