Securities Regulatory Litigation & Compliance

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Experience

    • 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) in public offerings and financial reporting

Regulatory and Government

We represent clients before exchanges, regulatory agencies, self-regulatory organizations including the:

    • U.S. Securities and Exchange Commission (SEC)
    • U.S. Department of Justice (DOJ)
    • Manhattan District Attorney’s Office
    • New York State Attorney General’s Office

    • Financial Industry Regulatory Authority (FINRA, formerly known as NASD)
    • U.K. securities regulators
    • Swiss securities regulators

We have successfully dealt with agencies including the SEC, U.S. DOJ, local prosecutors such as the Manhattan DA’s Office, the Financial Industry Regulatory Authority (formerly known as the NASD), the New York and American Stock Exchanges and state securities agencies. Our in - depth command of the regulatory and compliance environment is key to protecting our clients' business and their personal interests.

THOMAS J. CURRAN

Partner

New York, NY

Professionals

Of Counsel

Jeff Hage

Of Counsel

Chair - Business Litigation

Kevin J. O’Connor

Chair - Business Litigation

Co-Chair - White Collar, Regulatory Compliance & Investigations

Brian D. Waller

Co-Chair - White Collar, Regulatory Compliance & Investigations

Insights

Shared

Super Lawyers® Names Five Peckar & Abramson Attorneys to 2025 Washington, DC Super Lawyers & Rising Stars Lists; Michael Branca Selected to Top 100 List

Chambers USA Names Peckar & Abramson to Band 1 Level in Construction Law; 33 P&A Lawyers Recognized as Leading Attorneys; Eight Regions and Government Contracts Practice Recognized

Peckar & Abramson Achieves Recognition Among Construction Executive’s “Top 50 Construction Law Firms™”

Peckar & Abramson Named to NJBIZ In the Lead 2025: Legacy Businesses List

Court Rules That ERISA Preemption Bars Recovery of Union Benefit Fund Payments Pursuant to New York’s Wage Theft Statute From a General Contractor Where a Subcontractor Failed to Fund Payments

Living on The Edge: The Unacknowledged Delay/Acceleration

11 Peckar & Abramson Attorneys Named to 2025 New Jersey Super Lawyers and Rising Stars Lists; Kevin J. O’Connor Selected to Top 100 List

Best Practice Guidelines for the Use of Artificial Intelligence by Dispute Boards

In Memoriam: Roger S. Markowitz

Expert Q&A: Responding to the Impacts of Trump Administration Tariffs on Construction Materials