Regulatory Examinations and Investigations

Our team of enforcement attorneys routinely represent public companies, broker-dealers and investment advisors and hedge funds and their officers, directors and employees as well as individual investors in investigations and enforcement proceedings initiated by securities regulators of potential violations of the securities laws and regulations and internal investigations.  We regularly appear before the SEC, FINRA, the CFTC (Commodities Futures Trading Commission), the U.S. Department of Justice and state securities regulators.  We also guide broker-dealers and investment advisors through the examination process.

The collective years and experience that our enforcement attorneys have before regulators allow us to counsel clients and to assist them in evaluating risks and developing a strategy.  We are well versed in the language, regulations, rules, policies, and processes of these regulators and analyzing evidence, including complex trade data.  We use this experience to optimize our clients’ position, whether that means positioning the client to receive cooperation credit, using our investigative and trial skills to develop the factual record or litigating (we have served as both prosecutors and defense counsel) enforcement proceedings. 

Securities and Capital Markets Litigation

Our securities litigation attorneys represent plaintiffs and defendants in a wide range of securities litigations, including class actions and sophisticated matters arising from private investment disputes. Our technical knowledge of the securities laws has made us a leader in litigating issues arising under Sections 13(d), 14 and 16(b) of the Securities Exchange Act and in disputes surrounding PIPEs (private investment in public equity), warrants and other complex instruments, including asset- and mortgage-backed securities.

We often provide counsel before securities litigation begins, permitting clients to obtain optimal results without incurring the cost of an extended litigation. Our litigators regularly advise public companies, hedge funds and investors on a wide range of issues concerning corporate and securities litigation strategy, and when necessary engage in litigation to protect or enforce the rights of stakeholders in limited liability companies, limited partnerships, and public and private corporations.

FINRA Arbitration

We have substantial experience representing broker-dealers and registered representatives in FINRA arbitrations and other alternative dispute resolution forums, as well as in complementary litigation to enforce arbitration agreements. Matters at issue frequently include sales practice issues and complex products, trade disputes and employment disputes. 

Compliance Counseling

For our regulated clients, compliance questions frequently arise in the context of SEC and FINRA examinations, as well as during internal reviews.  Our approach is to collaborate with clients to strengthen their compliance and risk management programs, review and provide guidance on gaps in their policies and procedures and, as needed, design remedial measures.  Our goal is to identify practical solutions that clients can implement and integrate into their regular business processes.

Strategic Collaboration

Our securities litigation attorneys routinely collaborate across practice areas to ensure the highest caliber representation for our clients. Olshan’s active Arbitration practice advises both customers and broker dealers on FINRA matters and securities arbitrations generally, and our White Collar practice group with extensive experience in securities and other capital markets investigations. In addition, we provide the firm’s Corporate/Securities, Activist and Real Estate groups with extensive counsel concerning the trading and ownership restrictions and judicial treatment of specific, proposed financing terms, contractual language, or transaction structures.

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