Details.
Representation in federal securities fraud claims, merger disputes, RICO, and class actions in federal and state court and before the NYSE. The firm also handles FINRA and state regulatory investigations and complaints, including selling away, unauthorized outside business activities, unregistered securities sales, failure to supervise, improper exercise of discretion, failure to disclose liens, sale practices violations, and unsuitability. Representation is also provided in SEC investigations and defenses involving stock option backdating, internal control rules, anti-fraud provisions of the Securities Laws, and illegal distributions of unregistered securities.