SEC and FINRA Enforcement Investigations and Litigation Defense

Michael combines his experience leading FINRA Enforcement actions and defending SEC investigations to guide clients through every phase of the enforcement process. Michael assists clients in responding to subpoenas and document requests, preparing fo… Read More

SEC and FINRA Examinations and Regulatory Inquiries

Michael draws on his regulatory background to assist clients navigate SEC and FINRA examinations, regulatory reviews, and investigations. Michael understands firsthand how examiners evaluate firm responses, assess credibility, and determine whether m… Read More

Regulatory Compliance Counseling and Advisory

Michael provides proactive compliance counseling to broker-dealers, registered investment advisers, hedge funds/private funds, and stock exchanges to help identify and address regulatory risks before they escalate into full investigations or enforcem… Read More