SEC, FINRA, State & SRO Investigations/ Enforcement Actions

At DWH Legal we are uniquely qualified to help you with your securities regulatory and compliance matters. Our attorneys bring a unique combination of securities enforcement expertise and litigation strength. Our attorneys have experience working for the U.S Securities and Exchange Commission (SEC) as well as working in-house at public companies and major financial institutions.

Our lawyers defend clients in examinations, investigations and enforcement proceedings initiated by SEC, the Financial Industry Regulatory Authority (FINRA), various state securities regulatory agencies and other self-regulatory organizations (SRO). Our attorneys also regularly monitor SEC, FINRA and other SRO rulemaking activity to help ensure our clients are aware of any new policies while assisting them in implementing any recommended changes. Our clients include public companies, broker-dealers, investment banks, registered investment advisors and hedge funds, as well as individual directors, officers, employees, registered representatives and other individuals participating in the securities industry.

When it comes to regulatory compliance and enforcement matters our attorneys have dealt with investigations and enforcement actions stemming from allegations relating to:

  • Regulatory examinations
  • Regulatory inquiries, subpoenas and deficiency letters
  • Insider trading
  • Securities and financial fraud
  • Ponzi schemes
  • Market manipulation
  • Sales practices
  • Violations of SEC regulations
  • Required filings and disclosures
  • Matters involving potential or actual parallel civil actions
  • Violations of FINRA and SRO rules

We also are often retained to perform internal investigations to identify potential issues before regulatory inquiries are initiated.  When such inquiries are initiated, as a result of our extensive experience in working in these matters we know how to engage regulators in productive discussions while at the same time providing vigorous advocacy to protect your interests.  Please contact us for more information about our Securities Regulatory and Enforcement practice.