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

Special Counsel

Robert Bell

Special Counsel

Co-Chair - White Collar Litigation and Regulatory Enforcement

Thomas J. Curran

Co-Chair - White Collar Litigation and Regulatory Enforcement

Of Counsel

Jeff Hage

Of Counsel

Chair - Business Litigation

Kevin J. O’Connor

Chair - Business Litigation

Vice Chair - White Collar Litigation & Regulatory Enforcement

Doris D. Short

Vice Chair - White Collar Litigation & Regulatory Enforcement

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