Wealth Management Compliance & Enforcement

The firm’s Wealth Management Compliance and Enforcement team is comprised of former government insiders from the Securities and Exchange Commission’s Divisions of Enforcement and Trading and Markets, and Financial Industry Regulatory Authority’s Enforcement Department and Market Regulation Enforcement team, and former senior in-house counsel, as well as prominent federal prosecutors who have looked at securities issues from multiple viewpoints and are better able to counsel clients on the full spectrum of regulatory, business and compliance issues, industry developments and market trends.

The team is well versed on key regulatory frameworks and rules in the wealth management space including:

We also advise on emerging enforcement trends involving complex products, options, social media use, off-channel communications, and cross-border issues. Our interdisciplinary team leverages deep regulatory experience and strong relationships with the SEC, FINRA, and state regulators to help clients stay ahead of scrutiny while aligning business growth with compliance integrity.

To mitigate risk and strengthen clients’ supervisory programs, we conduct mock audits and help to structure new securities products and services that comply with regulatory requirements.  The firm also has extensive experience in conducting internal investigations to assist clients in carrying out their responsibilities under the securities laws.

When clients face government investigations or enforcement actions brought by the SEC, FINRA, the U.S. Department of Justice (DOJ), Congress, state attorneys general or other regulators, our securities enforcement and litigation teams vigorously defend them before regulatory authorities and in court.