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Regulatory Investigations and Enforcement

The Firm has represented public companies, their officers and directors, as well as broker-dealers, investment advisers, investment funds and other participants in the financial and securities markets, in connection with literally hundreds of SEC, FINRA and other regulatory investigations (including both informal inquiries and inquiries pursuant to formal orders of investigation) as well as enforcement actions taken by regulatory bodies against our clients.

In addition, we assist public companies, their boards, audit and other committees in conducting internal investigations where the companies are themselves under investigation and/or enforcement actions by the SEC, the major stock or commodities exchanges or other self regulatory organizations.