Regulatory Defense

Wolf Haldenstein has distinguished itself in its successful representation of entities and individuals in governmental investigations, enforcement actions and other administrative and regulatory proceedings.

Our Firm has represented broker-dealers, financial institutions and advisors, officers, board members, directors, and both public and private companies facing securities and commodities related investigations brought by the SEC, CFTC, DOJ, FINRA, NASD, NYSE, NASDAQ and various state agencies.  Our attorneys draw upon their vast experience in securities and business litigation to stay on top of developments in the regulatory landscape and deliver comprehensive counsel to our clients.

We provide representation on matters relating to fraud, insider or unauthorized trading, private placement offerings, books and records violations, municipal securities, ETFs, sales practice issues, suitability, variable products, market manipulation and other potential violations of industry practice.  Our attorneys also have the specialized expertise to assist individuals facing internal investigations, a delicate situation which often requires outside advisement to provide adequate representation and navigate the inherent risks posed by that unique scenario.

Our Firm also provides advice and counseling to encourage compliance and establish internal protocols to minimize risk and help avoid potential litigation and future violations of federal and state securities and commodities laws.  This guidance may include the retention of experts, advisement on data or document preservation, or the preparation of effectual responses to subpoenas and regulatory inquiries.

Wolf Haldenstein’s Regulatory Defense group is fully supported by the Firm’s Business Practice and Investor Protection groups, dovetailing and leveraging our skills and experience in securities law, corporate investigations and white collar defense to help our clients avoid litigation and move their businesses forward.

Practicing Attorneys