Securities: Regulation: Enforcement
USA Guide 2024 : USA - Nationwide
Band 4
About
Provided by Morvillo Abramowitz Grand Iason & Anello P.C.
Our lawyers have substantial expertise in regulatory enforcement actions and government investigations domestically and abroad. With our reputation for trial expertise and deep knowledge of the investigatory and regulatory process, we provide expert guidance to companies and individuals under investigation or charged in enforcement actions. We have frequently persuaded regulators not to pursue charges against our clients, and when charges are brought, we often are able to obtain favorable results in court or negotiate advantageous settlements. In addition, the firm frequently is engaged to counsel officers and directors of public corporations concerning their legal obligations, including their duties under the Sarbanes-Oxley Act.
We regularly represent clients in investigations, administrative proceedings and enforcement actions by the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Federal Reserve Bank, self-regulatory organizations, including the Financial Industry Regulatory Authority and international authorities. The issues in these proceedings range from insider trading to options backdating, stock manipulation, improper sales practices, and FCPA violations, and from complex accounting questions to misrepresentations and omissions in sales materials. We have successfully represented clients at trial in federal and state courts, administrative courts, and before SRO tribunals.
Chambers Review
Morvillo Abramowitz Grand Iason & Anello P.C. is an impressive boutique with deep capabilities in white-collar matters, as well as an active practice in regulatory investigations and enforcement actions. Particularly prominent before the SEC, while also handling proceedings involving FINRA, the CFTC and international regulators. Represents a number of high-ranking individuals, as well as corporate clients, broker-dealers and asset management firms. Demonstrates notable strength in FCPA and insider trading matters.
Work Highlights
- Morvillo Abramowitz Grand Iason & Anello P.C. represented Robert Alexander, the founder and president of an online gaming company, against allegations of securities fraud stemming from his alleged participation in a scheme to defraud investors.
Notable Practitioners
Richard Weinberg handles various securities enforcement matters involving the CFTC, SEC and DOJ, and is an expert on matters such as options trading.