Securities Regulatory Litigation & Compliance
Peckar & Abramson represents clients in civil and criminal proceedings, including internal investigations, related to the regulation of financial markets and private litigation involving market participants.
Our experience includes the successful representation of public and private companies, investment banking firms, officers and directors, retail brokerages, firms specializing in trade execution and clearing, banks and other financial institutions, hedge funds and accounting firms. In addition, we represent lawyers and law firms arising out of their representations of financial market participants, as they have increasingly come under civil and regulatory focus and private litigation efforts.
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:
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- 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
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- 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:
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- 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
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- 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
Professionals
Of Counsel
Jeff Hage
Of Counsel
Chair, Business Litigation
Kevin J. O’Connor
Chair, Business Litigation
Chair, White Collar, Regulatory Compliance & Investigations
Brian D. Waller
Chair, White Collar, Regulatory Compliance & Investigations
Related Practice Areas
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