We represent and defend companies and individuals in connection with investigations brought by U.S. financial regulators, including the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), New York Stock Exchange (NYSE), state regulators, and self-regulatory organizations (SROs).

When the government initiates contact, it is essential to address their inquiries with utmost seriousness. We conduct thorough internal investigations for corporations, their officers, and their boards, focusing on complex issues such as potential violations of anti-corruption laws like the Foreign Corrupt Practices Act (FCPA), the False Claims Act, securities and trading laws, and other regulatory compliance matters.

We offer proactive regulatory counseling to public companies and financial institutions on a range of matters, including the Investment Advisers Act, Securities Exchange Act, Regulation Best Interest (Reg BI), Gramm-Leach-Bliley Act (GLBA), GDPR, AML, KYC, Bank Secrecy Act, ESG product disclosure, the USA PATRIOT Act, Dodd-Frank, Sarbanes-Oxley (SOX), FCPA, the Volcker Rule, and other related areas.

When an issue arises that requires an internal investigation, our team conducts thorough, discreet inquiries into potential regulatory breaches, violations of law, compliance issues, whistleblower claims, or other events that may trigger a disclosure or reporting obligation. Our approach is centered on uncovering the facts while ensuring legal compliance and protecting our clients’ interests throughout the investigative process.

In the fast-evolving blockchain, fintech, and digital asset sectors, we offer specialized legal services to address their unique challenges. We guide clients through complex regulations, ensuring compliance with securities laws, AML, and digital asset guidelines, while fostering innovation in areas like blockchain development, cryptocurrency exchanges, and decentralized finance (DeFi).