The CSG Law Securities Enforcement Group offers unrivaled excellence in defending companies and individuals in regulatory examinations, investigations, disciplinary actions, and litigation.

Securities Enforcement

Our highly experienced team defends broker-dealers, investment advisers, hedge funds, clearing firms, public and private companies, and corporate officers, directors, executives, and other individuals. We resolve inquiries, investigations, and enforcement actions brought by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodities Futures Trading Commission (CFTC), the New York Stock Exchange (NYSE), Nasdaq, the Chicago Board Options Exchange (Cboe), other self-regulatory organizations (SROs), and state securities regulators and attorneys general.

Our lawyers have favorably resolved claims regarding fraud, insider trading, anti-money laundering (AML) violations, market manipulation, market access, best execution, sales practice supervision, Regulation Best Interest (Reg BI), and trade reporting, among many others. Our team also represents financial services firms and associated individuals in arbitration proceedings before FINRA Dispute Resolution Services and other forums.

The group includes attorneys who have held senior positions at FINRA and the Criminal Division of the U.S. Attorney’s Office for the District of New Jersey. In those roles, they oversaw thousands of investigations, enforcement actions, and litigation and possess deep insight into the priorities, processes, and inner workings of these authorities. Our lawyers also have worked extensively with the SEC and other regulators and have the experience, knowledge, and effective relationships with regulators that are critical in navigating the ever-changing regulatory landscape and achieving favorable results—whether by convincing the regulator not to file charges at all, negotiating a reasonable settlement, or litigating.

Securities Litigation

Our team regularly collaborates with lawyers across the firm, including members of the White Collar Defense & Investigations and Litigation teams, to resolve civil and criminal trials and appeals of securities-related cases. With vast litigation experience, our firm defends clients facing grand jury investigations, single-party and multi-party cases, shareholder derivative litigation, and other class action cases.

Advisory Counsel

The Securities Enforcement Group also counsels broker-dealers, investment advisers, hedge funds, clearing firms, and other financial institutions on a broad range of regulatory compliance issues and risk avoidance strategies. We help clients:

  • Obtain regulatory approval to form new businesses or change or expand business lines
  • Establish effective compliance and supervisory programs
  • Conduct internal investigations on behalf of audit and special committees, boards of directors, and other corporate clients
  • Anticipate and best position themselves to respond to regulatory scrutiny
  • Enforce restrictive covenants and preserve trade secrets
  • Defend assertion of unfair competition and investment-related claims
  • Handle information security issues launching new products and services, such as “FinTech” or robo-advisor services.

In each instance and at all times, we take a practical approach, working with our clients to achieve solutions tailored to their unique business needs and goals.

*Results may vary depending on your particular facts and legal circumstances.