Warshaw Burstein LLP | Securities/SEC Enforcement/FINRA/Internal Investigations
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Practice Areas

Securities/SEC Enforcement/FINRA/Internal Investigations

Our securities litigators have substantial experience handling complex investigations, regulatory enforcement proceedings, civil litigation and alternative dispute resolutions, where exposure to reputational and financial risks is high. Our attorneys regularly achieve early case resolution, and are equally successful when a trial on the merits is warranted.

Our litigation clients include major public corporations and private entities, financial institutions, broker-dealers, investment advisers, hedge funds, service providers to the financial services industry and individuals in the securities industry. Our ability to “partner” with senior management of our clients helps us achieve desired results within budgeted parameters.

Our financial services litigation and internal investigations group is current on the ever evolving regulatory focus. We work with our clients in connection with internal investigations whether generated at the behest of management or in response to regulatory direction.

We represent a wide range of members of the financial services industry, ranging from start-up entities and individual investment professionals to large established entities. Some of our financial services litigators previously served in government and self-regulatory organizations, including the SEC, New York Attorney General’s Office and Corporation Counsel of the City of New York.

We represent our clients in SEC, CFTC and FINRA and state investigations and enforcement actions, SRO regulatory disputes, administration proceedings and private litigation. We have conducted investigations and represented clients concerning allegations of federal and state securities laws violations, including insider trading, front running, market manipulation, inadequate investment disclosure and communication, inadequate record-keeping and disputes with investors. In that connection, we have dealt with myriad issues and situations, including:
  • Compliance programs, supervisory procedures and controls written compliance policies procedures, codes of ethics, continuing education programs
  • Internal testing and evaluating the effectiveness of compliance procedures and risk management practices
  • Preparing for and undergoing regulatory examinations
  • Preparing for and responding to regulatory inquiries, document requests and “deficiency letters”
  • Cybersecurity
  • Customer disputes
  • Employment matters (including raiding cases), non-competition agreements
  • Whistleblower initiated investigations

We understand the connections between internal investigations and related civil litigation and we help clients come up with tailor-made solutions to these problems. We work closely with our financial services group so that our advice to clients is always consistent, result oriented and cost sensitive.