Financial Services Litigation

Regulatory and Compliance

SLW represents firms in the financial services industry and their officers, directors and employees in regulatory examinations, investigations and enforcement actions by federal, state and SRO regulators. In addition to representing clients with respect to investigations, examinations or enforcement action, we advise clients with regard to compliance-related matters, such as questions relating to supervision, books-and-records maintenance, U-4 and U-5 filings, and customer privacy.

The firm handles matters before the NASD, NYSE, FDIC, SEC and state regulators involving various subject matters, including:

• Fee-based based brokerage accounts
• Unauthorized trading
• Supervision
• Market timing of mutual funds and variable annuities
• Mark-ups
• Market manipulation
• Sales practices relating to variable annuities
• Options trading and supervision
  
• Investment advisor services

Contacts

Regulatory and Compliance

Michael B. Cosentino
mcosentino@slwllp.com