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Securities Litigation Regulatory and Compliance

Securities Litigation, Regulatory and Compliance at Peckar & Abramson: Highly experienced in matters involving civil and criminal regulation of the financial markets as well as any private litigation relating to market participants

Experience and knowledge are keys to our ability to advise clients and protect both their business and personal interests. Our Securities Litigation Regulatory and Compliance Group has extensive experience representing clients in government agency investigations and enforcement proceedings brought by various exchanges, self-regulatory organizations and government agencies such as the Securities and Exchange Commission (SEC) and the increasingly aggressive state and local securities regulators.

Peckar & Abramson’s lawyers have successfully represented clients in class actions, derivative lawsuits and arbitrations, including matters in which allegations of fraud and accounting irregularities have been made. Our clients have included public and private companies, investment banking firms, officers and directors at companies, retail brokerages, firms that specialize in trade execution and clearing, banks and other financial institutions, hedge funds and accounting firms.

Our Securities Litigation Regulatory and Compliance Group is at the forefront of securities litigation. Our attorneys’ research and continuing relationships with regulators help Peckar & Abramson and our clients stay current with new developments. This in turn helps us proactively protect our clients. We have assisted clients with issues such as:

  • Stock option grant backdating
  • Mutual fund market timing
  • Late trading
  • Alleged market manipulation
  • Accounting and financial disclosure issues
  • Securities registration issues
  • Executive conduct and compensation
  • Sales practices
  • Failure to supervise
  • Clearing and trading irregularities
  • Trade reporting violations
  • Sales practice rule violations
  • Insider trading issues
  • Allegations of misconduct on the part of professionals (including lawyers and accountants)

Agencies we have successfully dealt with include the SEC; the U.S. Department of Justice; local prosecutors, including the Manhattan District Attorney’s Office; the Financial Industry Regulatory Authority (formerly known as the NASD); the New York Stock Exchange; the American Stock Exchange; and state securities agencies.