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Securities, Commodities Litigation, and Enforcement

SEC, FINRA, and CFTC proceedings and private litigation

Securities and commodities violations involve alleged breaches of trading rules, disclosure requirements, or financial reporting standards that govern the investment industry. When the SEC, FINRA, CFTC, or other regulatory bodies initiate an investigation, they possess extensive authority to request documents, interview witnesses, and impose significant sanctions, including industry bars that can permanently affect your livelihood.

If you’ve received an inquiry letter from regulators, been contacted by enforcement staff, or learned that your firm is under investigation, you’re likely concerned about what this means for your career and financial future. These investigations can escalate quickly and can result in sanctions that end careers.

Our Expertise

We represent clients in various securities and commodities matters, including:

  • FINRA Arbitration and Enforcement Actions

    Disciplinary proceedings, customer disputes, industry bar proceedings, and sanctions appeals

  • SEC Enforcement Actions

    Securities fraud investigations, disclosure violations, insider trading, and regulatory sanctions

  • Private Securities Litigation

    Class action defense, shareholder disputes, securities fraud claims, and corporate governance

  • Federal Securities Investigations

    Parallel criminal and civil proceedings, grand jury investigations, and regulatory coordination

  • CFTC Enforcement Actions

    Commodities fraud investigations, futures trading violations, and regulatory proceedings