We represent individuals and companies in SEC and FINRA investigations and enforcement proceedings, private Federal and State court civil litigations, FINRA and non-public arbitration proceedings, and public company internal investigations.
Like Odin’s spear, we strive at all times to hit the mark decisively, regardless of the power, strength and skill of the opponent. Whether that occurs at trial, during litigation, while a client is under investigation, or in connection with an early resolution of a difficult matter depends entirely on the best interests of the client.
​
We represent whistleblowers in connection with SEC and CFTC enforcement actions. Our whistleblower clients have been awarded more than $20 million.
​
We represent financial advisor clients who have suffered catastrophic losses caused by rogue or incompetent brokers and investment advisors. Our investor clients have been awarded more than $12 million in compensation for their losses.