Regulatory Law

The firm has extensive experience in representing clients involved with regulatory matters involving issuers and their officers and directors, accounting firms, broker-dealers, registered individuals, hedge funds, and investors in investigations by the SEC, the Justice Department, the states’ Attorneys General, as well as the CFTC, FINRA, and NYSE. The firm also handles cases with other banking regulators involving matters including:

  • Internal Investigations
  • SEC and Regulatory Enforcement Proceedings
  • SEC, SRO and State Regulatory Investigations and Enforcement Activities Litigation
  • Supervisory Issues
  • Compliance Issues
  • Disciplinary Proceedings

KO’s counsel to individual and institutional clients is directed at ensuring their compliance with federal and state securities statutes, the rules and regulations promulgated thereunder, as well as the rules and regulations of self-regulatory organizations.