The Firm practices extensively in matters concerning securities law and transactions.

The Firm has represented more than 300 individuals and corporations in over 160 regulatory investigations. The Firm prides itself on offering a broad range of services, from educating clients on what to do when the securities regulators attempt to ambush staff and executives through informal and intimidating telephone calls, to representing clients subpoenaed formally by the SEC, CFTC or state regulators, to negotiating favorable settlements and litigating matters through trial and appeals in courts and administrative proceedings.

Among the many investigations that the Firm has defended, the Firm’s lawyers have resolved and sought to resolve matters through proper preparation for investigative testimony, internal investigation for deficiencies and document revisions, Wells Submissions, mediations and, if all fails, aggressive litigation.

The Firm’s securities work has involved informal pre-litigation investigations, SEC and CFTC administrative proceedings, and federal court litigation in California, Nevada, Texas, Florida and New York. Its clients have ranged from individuals and small companies, to small and large fund managers, to large corporations, SEC receivers and government agencies.

The Firm’s clients have faced accusations of insider trading; fraudulent statements in violation of securities laws; failing to register securities and failure to comply with Rule 144; failure to register as brokers and dealers of securities; accounting errors and deficiencies in stock and bond registration statements and public financial statements.

Related to SEC investigations and litigation, the Firm has represented third parties whose assets were caught up in SEC receiverships and clients sued by receivers based on claims of fraud, neglect and fraudulent transfers.

The Firm has been at the cutting edge of cases brought by the SEC throughout its 20 years of existence. Recently, the Firm has represented targets of the SEC because they were involved in cryptocurrencies, a cryptocurrency exchange, and EB-5 offerings, including actions against immigration lawyers.