Securities Regulatory Litigation & Compliance

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Experience

Financial Market Regulation

We represent clients in government agency investigations and enforcement proceedings brought by exchanges, self-regulatory organizations, government agencies, local civil and criminal prosecutors/regulators and foreign securities regulators.

Private Litigation

We’ve achieved successful outcomes for clients in class actions, derivative lawsuits and arbitrations, including matters in which fraud and accounting irregularities were alleged.

Relevant Experience

We assist clients with issues such as:

    • Stock option grant backdating
    • Mutual fund market timing
    • Late trading
    • Allegations of 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) 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."

Brian D. Waller

Partner

New York, NY

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Professionals

Jeff Hage

Jeff Hage

Of Counsel

Jeff Hage

Jeff Hage

Of Counsel

Kevin J. O’Connor

Kevin J. O’Connor

Chair - Business Litigation

Kevin J. O’Connor

Kevin J. O’Connor

Chair - Business Litigation

Brian D. Waller

Brian D. Waller

Chair - White Collar, Regulatory Compliance & Investigations

Brian D. Waller

Brian D. Waller

Chair - White Collar, Regulatory Compliance & Investigations

Insights Shared

New York Amends Prompt Payment Act: Retainage Above 5% in Private Construction Contracts Now Void

In 2023 New York overhauled its Prompt Payment Act. The 2023 amendments, largely aimed at restricting the amount of retainage that can be withheld on private projects, were unclear about whether parties could contract around the statute, as they can with other provisions of the statute. The State Legislature recently clarified that issue. On December ... Read More

Peckar & Abramson Announces Executive Committee and Leadership Updates

Peckar & Abramson, P.C. (P&A) is pleased to announce that Paul Monte has been appointed to serve as Vice-Chair of the firm. Paul currently serves on the firm’s Executive Committee, is Co-Managing Partner of P&A’s New York office, and Chairs its Infrastructure Practice. He balances these duties while continuing to represent many of the industry’s ... Read More

New Jersey Amends Pre-Bid Registration Requirement for Joint Ventures

Summary of Amendments Recently, Governor Murphy signed into law Bill S4281 significantly amending the Public Works Certificate Registration Act (PWCRA), N.J.S.A. 34:11-56.48 to -56.57. As a result, Joint Ventures will be permitted to bid on certain public works projects without prior registration. At a minimum, Joint Ventures should be cognizant of the following important requirements ... Read More

Peckar & Abramson Attorneys Cornelius “Lee” Banta, Jr. and Tiffany Harrod Board Certified in Construction Law by The Texas Board of Legal Specialization

Peckar & Abramson, P.C. (P&A) is pleased to announce that partners Cornelius “Lee” Banta, Jr. and Tiffany Harrod recently passed the Texas Board of Legal Specialization (TBLS) Certification Exam and are now Board Certified in construction law by the Texas Board of Legal Specialization. P&A ranks in the top one percent of the Texas organizations ... Read More

Eli Pierce Named Among D Magazine’s 2026 Best Lawyers Under 40

Peckar & Abramson, P.C. (P&A) is pleased to announce that Eli Pierce, partner in the firm’s Dallas office, has been named one of D Magazine’s Best Lawyers Under 40 for 2026. According to D Magazine, the publication invites thousands of local lawyers to nominate their peers based on their firsthand experience of their work. The ... Read More

Peckar & Abramson Welcomes Eli Pierce and Tracey Williams as Partners; Announces Additional Promotions to Senior Counsel and Senior Associate

Peckar & Abramson, P.C. (P&A) is pleased to announce that Eli Pierce and Tracey Williams of P&A’s Dallas office have been promoted to Partner. P&A is also pleased to announce Arthur Tergesen of the firm’s New Jersey office has been promoted to Senior Counsel, and Mitchell Abood and Alexandra McKissick of the Miami office have been ... Read More

Managing Construction Risk Through Commercial General Liability Insurance

Adam Handfinger, Co-Managing Partner of P&A’s Miami office, served as a contributing editor to “Managing Construction Risk Through Commercial General Liability Insurance,” a Thomson Reuters Practice Note. It explains how CGL insurance manages construction-project risk, highlights common coverage gaps created by business-risk exclusions, and outlines key endorsements and claims-enforcement strategies needed to properly protect contractors ... Read More

Lexology Panoramic: US Construction (state-by-state) USA – Texas

Managing Partner of P&A’s Dallas office, Timothy D. Matheny, and Associates Victoria E. Gregory and Frank Lander were contributing editors to the Lexology Panoramic: US Construction (state-by-state) USA – Texas guide. This guide provides a concise comparison of key U.S. construction laws. Covering essential topics: Licensing procedures Bribery Construction contracts Payment methods PPP and PFI Labor requirements ... Read More

Lexology Panoramic: US Construction (state-by-state) USA – Florida

P&A Partners Brett J. Moritz and Stefanie A. Salomon, as well as Associates Alexandra B. McKissick, Mitchell P. Abood, and Senior Associate Nadia Ennaji, were contributing editors to Lexology Panoramic: US Construction (state-by-state) USA – Florida guide. This guide provides a concise comparison of key U.S. construction laws. Covering essential topics: Licensing procedures Bribery Construction ... Read More

Lexology Panoramic: US Construction (state-by-state) – District of Columbia

P&A Partner Jennifer Harris and Associate Julia Loudenburg served as the contributing editors for the District of Columbia guide of Lexology Panoramic’s US Construction (state-by-state) report. The guide provides a concise comparison of key U.S. construction laws. For the complete guide, click HERE.  Subscription Required