Financial Services: Investment Advisors, Mutual Funds and Hedge Funds

Our attorneys are particularly adept at addressing enforcement and regulatory issues in the financial services industry. With decades of experience in SEC and other regulatory matters, we are prepared to successfully counsel clients through all stages of SEC, FINRA, FinCEN, state securities and insurance, and other regulatory investigations:

• Represented an independent credit ratings agency in an SEC Administrative Proceeding and its CEO, filed a lawsuit against the SEC in United States District Court to move the case to federal court, and successfully resolved the cases on behalf of the clients.

• Convinced the SEC not to file charges against a CEO and his wife whom the SEC previously stated it intended to charge with insider trading. Entered the case after the SEC had sent clients a Wells notice and persuaded SEC to reverse its decision.

• Represented advisers and fund complexes in “market timing” investigations, and several hedge funds and associated persons in investigations of whether the funds traded on the basis of non-public information.

• Obtained substantially reduced sentence for registered representative engaged in a “pump and dump” stock fraud and stock manipulation scheme tied to Stratton Oakmont.

• Successfully represented Chinese financial institution against JPMorgan in the valuation of certain foreign currency swap transactions governed by the International Swap Dealers Agreement (ISDA) Master Agreement.