Wolf Haldenstein has distinguished itself in its representation of entities and individuals in governmental and quasigovernmental regulatory proceedings. This includes investigations, agency enforcement actions and court cases, We have successfully represented entities and individuals primarily in securities and commodities related investigations by the SEC, CFTC, NASD,NASDAQ and various state agencies for almost 50 years. We also provide advice and counseling to entities to minimize risk and take preventive measures to avoid violation of federal and state securities laws and federal commodities laws.
Our successful representations in securities arbitrations and commodities preparation proceedings are well known. For more than 50 years we have provided representation both as to claimants and respondents in in numerous securities arbitrations before FINRA and its predecessor, the NASD and commodities reparations proceedings.
We also offer representation in commercial arbitration before the American Arbitration Association is. For more than 40 years we have represented both claimants and respondents in large arbitrations before the AAA involving corporate disputes arising out of merger agreements, change of control severance agreements and other types of employment disputes.
Entities involved in the financial publishing industry and in service providers to public companies often turn to Wolf Haldenstein for its expertise in this area. For more than 50 years we have represented major players in the financial publishing industry in both counseling, regulatory work and arbitrations and litigations.
We also are retained to review the publisher’s promotional materials to minimize potential regulatory exposure and subscriber litigation, including setting up internal procedures and controls to make sure there are accurate disclosures about the performance of investment recommendations. We also represent service providers involved in distributing printed email materials by public companies to increase investor awareness.