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Regulatory Investigations and Enforcement Actions

The attorneys at Lehman & Eilen provide zealous and effective representation to investment advisers, broker dealers, hedge funds, proprietary trading firms and such entities’ senior management and associated persons in a host of regulatory and compliance matters.  Our attorneys are experienced representing clients before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange, other securities self-regulatory organizations (SROs) and state securities agencies in relation to examinations, inquiries, regulatory sweeps, investigations and enforcement actions. Securities, commodities and other financial services are subject to extensive federal and state regulations. These laws are complex and constantly changing, and therefore matters in this area require the representation of a skilled and experienced attorney. We work in this area every day.

Lehman & Eilen attorneys have assisted business entities and individuals in regulatory matters arising under the following laws:

  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Sarbanes-Oxley Act of 2002
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • State Blue Sky Laws

We have also handled matters relating to various other Federal and state regulations.

Our attorneys can help you respond to an informal inquiry, represent you during an examination and investigation, and defend you in an enforcement action.  We have many satisfied clients and have handled matters involving the following regulatory and compliance issues, among others:

  • Anti-Money Laundering
  • Insider Trading
  • Misleading Advertising
  • Net Capital
  • PIPEs (Private Investment in Public Equity)
  • Registration Claims
  • Regulation SHO
  • Rule 105 of Regulation M
  • Short Selling
  • Statutory Disqualification
  • Supervision
  • Supervisory Procedures
  • Trade Reporting

Our firm works on all levels of regulatory matters and uses a strategic approach in order to resolve your issue as efficiently and expeditiously as possible.  It may not be in our clients’ best interests to litigate and may be more beneficial to settle the matter amicably in order to prevent it from progressing to the next level.  If the matter does progress, we aggressively assist our clients in dealing with the possible and probable consequences.




© 2017 Lehman & Eilen LLP | Attorney Advertising
50 Charles Lindbergh Blvd, Suite 505, Uniondale, NY 11553
| Phone: (516) 222-0888

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