Representation of a broker-dealer in parallel FINRA and U.S. Attorney investigations into an alleged unauthorized currency exchange and money laundering of foreign currency.
Representation of a broker-dealer in parallel FINRA and state investigations into unauthorized trading and investments made with the proceeds of non-purpose loans.
Representation of a broker-dealer in various unrelated FINRA enforcement investigations involving structured notes, exchange traded funds and foreign currency transactions.
Representation of a broker-dealer in various unrelated FINRA enforcement investigations involving the creation of false performance reports, unapproved sales literature, advertising issues and unapproved third party research.
Representation of a broker-dealer in an NASD Enforcement (now FINRA) investigation into variable annuity sales.
Representation of a broker-dealer with regard to its advisory practice and ADV disclosures.
Representation of a broker-dealer in multiple matters involving the use of fee-based brokerage accounts.
Representation of broker-dealers nationwide in FINRA arbitrations and related litigations involving sales practice related claims by customers.
Representation of broker-dealers, private banks and commercial banks nationwide in recruiting disputes, including applications for injunctive relief and arbitrations, related employment claims and promissory note disputes.
Representation of a broker-dealer in an SEC investigation into insider trading.
Representation of a broker-dealer in a New Jersey Bureau of Securities investigation related to sales of high-yield securities.
Representation of an accounting firm in an SEC investigation into audits of SEC registrants based in the People’s Republic of China.
Representation of a crude oil derivatives trader in litigation regarding garden leave and other restrictive covenant clauses.
Representation of a celebrity radio host in parallel federal and state litigation with his former employer involving claims of trademark infringement and non-compete claims.
Representation of a railroad in litigation involving easements in real estate.
Representation of a major New Jersey casino in a regulatory proceeding involving surveillance and security procedures.