Practice
Substantive judgment in a narrow set of niches.
The firm advises and counsels in ten niches where senior agency experience materially changes the work. Matters outside these areas are referred when a sensible referral exists.
SEC Enforcement Defense
Subpoena response, Wells notices, on-the-record interviews, settlement negotiation, and disgorgement defense for individuals and entities under Commission investigation.
Read more →SEC Enforcement DefenseWhistleblower Representation
Form TCR filings, Dodd-Frank protections, anonymous submissions, and award applications — informed by years inside the SEC's Office of the Whistleblower.
Read more →Whistleblower RepresentationSecurities Compliance
Compliance program design, examination preparation, and regulatory risk assessment for registered investment advisers, broker-dealers, and fund managers.
Read more →Securities ComplianceInternal Investigations
Counsel to boards and audit committees on anonymous tips, accounting issues, FCPA flags, and whistleblower complaints — with the regulator-side perspective those reviews require.
Read more →Internal InvestigationsBroker-Dealer & Investment Adviser
FINRA, NYSE, and NASDAQ enforcement defense and disciplinary proceedings. Compliance counsel for RIAs, broker-dealers, and fund complexes.
Read more →Broker-Dealer & Investment AdviserComment Letters
Substantive comment letters to the SEC, FINRA, NYSE, and NASDAQ on proposed rulemakings — a high-value, low-volume niche where senior agency experience materially changes the work.
Read more →Comment LettersCapital Raising & PPMs
Regulation D and exempt offerings. Private placement memoranda drafted to withstand later scrutiny — because the nature of the offering, not its size, determines the legal obligations.
Read more →Capital Raising & PPMsRepresentation in FINRA Arbitrations
FINRA Dispute Resolution is a principal forum for securities-industry disputes, both between customers and member firms and among firms and their associated persons.
Read more →Representation in FINRA ArbitrationsSecurities Fraud Defense
Defense of insider trading, market manipulation, and accounting fraud matters — in parallel SEC, DOJ, and SRO postures.
Read more →Securities Fraud DefenseReferral & Local Counsel
Co-counsel and local counsel arrangements with attorneys whose firms have conflicts, capacity constraints, or no securities depth.
Read more →Referral & Local CounselDiscuss your matter
Securities and enforcement work often crosses these headings. The firm will say candidly whether it can help.
A conflict check runs first, then a scheduled call, usually within forty-eight hours.