Lawyers / Professionals

Mr. Rosenblatt, co-chair of the Broker-Dealers & Investment Advisers Industry Team, represents clients in a variety of governmental and regulatory investigations, including securities and other financial regulatory matters. He has handled matters involving SEC, DOJ, FINRA, NYSER, OCC, FTC, OFAC, HUD and state attorneys general offices.

Prior to joining the firm, Mr. Rosenblatt was assistant general counsel for Wells Fargo & Co. (and its predecessor Wachovia Corp.), where he was primarily responsible for representing the company in governmental and regulatory inquiries and investigations. Prior to Wells Fargo, he was an assistant director in the Washington, D.C. office of the Enforcement Department of the National Association of Securities Dealers (NASD) (n/k/a Financial Industry Regulatory Authority (FINRA)). At NASD, he led a team of attorneys and investigators responsible for investigating and litigating violations of NASD Rules and federal securities laws.

Throughout his career, he has handled matters involving many areas, including: antitrust, insider trading, research, trading, trade reporting, prospectus delivery, Class B and C mutual fund shares, directed brokerage, market timing, late trading, lock-ups, training, non-cash compensation, fraud, manipulation, Regulation M, excessive underwriter's compensation, markups/markdowns, money laundering, securities fraud, wire fraud and RICO. He has also testified as an expert on securities law in grand jury and state and federal court proceedings.