Securities laws and regulations are routinely changed and reinterpreted by courts and regulators. Changes to rules and regulations could severely impact your case or dispute. Kaufman Dolowich attorneys stay up-to-date on the latest changes and interpretations to the securities laws and regulations. Our firm has defended individuals, corporate officers, registered representatives, and member firms before securities regulators in a wide variety of enforcement matters. We represent clients at each critical juncture in a SEC enforcement proceeding, including from an initial inquiry, through a formal investigation, including responding to administrative subpoenas for documents and “on-the-record” testimony, through the “Wells” process, and during litigation, including during settlement negotiations, pre-trial hearings, administrative hearings, and federal trials.
| Co-Managing Partner, Fort Lauderdale, FL Office Co-Chair of Financial Services & Institutions Practice Group |
Fort Lauderdale, FL | |
| Kaufman Dolowich's General Counsel | New York, NY , Hackensack, NJ | |
| Co-Managing Partner of Chicago Office | Chicago, IL | |
| Attorney | Philadelphia, PA | |
| Of Counsel | Chicago, IL | |
| Partner | San Francisco, CA | |
| Attorney | Fort Lauderdale, FL |
Awards & Honors
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