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Regulatory Investigations Practice
We have broad experience representing individuals and entities before federal and state regulatory agencies, in both investigations and enforcement actions. Our partner Ralph Siciliano spent many years with the Securities and Exchange Commission, and since 1982, he has been in private practice representing and advising parties in regulatory matters.
Our firm represents investment advisers, hedge funds, broker-dealers, and officers and directors of private and public companies before the SEC, the Financial Industry Regulatory Authority, and the Office of the Attorney General of the State of New York. We also represent commodity trading advisers and commodity pool operators in investigations conducted by the Commodity Futures Trading Commission. We advise Audit Committees and Special Committees of Boards of Directors in connection with internal investigations, change of control transactions, and other matters. We also represent parties in connection with governmental investigations involving the insurance and real estate industries.
We protect our clients' rights, and we do so efficiently. We are sensitive to our clients' resources and we manage them appropriately. We are familiar with the investigative process of governmental agencies and have the expertise to guide our clients, whether they are witnesses or targets of such investigations.
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