Securities Enforcement & Regulatory Associate:

Represented domestic and foreign broker-dealers, investment banks, retail banking institutions, asset managers, and private wealth managers in connection with inquiries, investigations, and enforcement actions brought by the SEC, FINRA, NYSE, and other federal and state regulatory organizations, as follows: negotiated with regulators regarding the scope of subpoenas and document requests received by clients; supervised the collection, review, and production of documents, records, and other responsive information to regulators; conducted internal investigations in order to develop the factual record and responded to regulators’ requests for information and documents; conducted fact-finding interviews of client employees and prepared them to give formal testimony and informal interviews; researched and drafted memoranda on legal issues related to securities regulatory investigations; met with regulators to present relevant and material information, advocate for the limitation of client liability, and negotiate favorable resolution of investigations and enforcement actions; and advised client legal and compliance personnel regarding policy and procedure remediation required to address regulatory concerns and potential exposure to liability.