Sadis’ Securities Enforcement Defense practice focuses on government investigations, SEC Enforcement actions and FINRA enforcement actions. Sadis regularly defends investment advisers and broker dealers against government investigations by the SEC, FINRA, CFTC, U.S. Attorneys’ Office, and other government agencies involving a wide-variety of securities law issues. Recent notable representations include:
Experience
Successfully represented former Chief Investment Officer of $1+ billion AUM investment adviser in S.E.C. into allegedly improper allocation of expenses and soft-dollar credits. Obtained S.E.C. termination letter recommending no enforcement action.
Represented broker-dealer and CEO in S.E.C. insider trading investigation, including defending witness in testimony and advocating against any action against clients.
Successfully represented broker-dealer and its CEO in investigation referred by S.E.C. to FINRA Department of Enforcement into front-running and cross-trading involving an affiliated investment adviser. Obtained Letter of Caution with no other sanctions.
Represented broker-dealer in S.E.C. investigation into alleged Reg. SHO and Section 15(c) market access issues arising out of use of defective order management system.
Represented $2+ billion AUM investment adviser and President in S.E.C. investigation into alleged overstatement of financial results, AUM, and failure to disclose conflict of interest. Obtained favorable settlement with negligence-based claims and low financial sanctions.
Representing Head of Family Office in joint investigation by S.E.C. and U.S. Attorneys’ Office for the Eastern District of New York, including defending client in S.E.C. interviews and U.S. Attorneys’ Office proffer sessions, and preparing witness for trial testimony.
Successfully represented former Managing Director of Investment Bank in S.E.C. insider trading action, including obtaining partial dismissal of S.E.C. claims and negotiating favorable settlement with one negligence-based claim and minimal monetary sanctions.
Represented multi-billion AUM Fund of Hedge funds and its officers in joint investigation by S.E.C. and U.S. Attorneys’ Office for the Southern District of New York into valuation and alleged price mismarking.
SEC Enforcement Defense
Sadis & Goldberg LLP provides strategic defense representation in SEC enforcement actions and investigations. Our SEC enforcement defense attorneys adeptly handle investigations involving securities violations, compliance matters, and regulatory litigation.
FINRA Enforcement Defense
Our attorneys represent clients effectively in FINRA enforcement proceedings, arbitration, and disciplinary hearings. We strategically manage each case, ensuring risks are mitigated and interests are protected.
Securities Litigation and Regulatory Representation
We provide robust defense strategies in complex securities litigation, handling allegations of fraud, misconduct, and regulatory breaches. Our experienced securities regulatory lawyers strategically guide our clients through complex cases. Learn more about our financial services litigation expertise in investor protection & fraud cases.
Why Clients Trust Sadis & Goldberg
Proven track record in SEC and FINRA cases.
Strategic advice and vigorous defense tailored to financial professionals and institutions.
Experienced representation before regulatory bodies including SEC, FINRA, and other financial regulatory entities.
FAQs
Q: What should I do if contacted by the SEC or FINRA?
A: Promptly seek legal counsel experienced in regulatory defense to navigate the investigative process strategically.
Q: How does Sadis assist clients in regulatory investigations?
A: Our attorneys guide clients through every phase, from initial response to potential litigation, providing strategic defense to mitigate risks.
Q: What sets Sadis apart in handling securities enforcement matters?
A: Our depth of experience, strategic advocacy, and successful track record in securities regulatory defense distinguish our representation.
