Our Prinicipal Attorney’s background in institutional commodity trading, uniquely qualifies us to represent traders and investment advisors facing CFTC or SEC investigations. Our firsthand experience in the fast-paced world of commodity trading provides deep insight into market practices, trading strategies, and regulatory nuances, enabling us to craft strategic defenses for clients accused of violations such as insider trading, market manipulation, or compliance breaches. This practical and academic foundation allows us to navigate complex financial regulations with precision, ensuring robust representation tailored to the specific needs of traders and advisors.

• Insider Trading: Defending clients accused of trading securities based on material nonpublic information, including tipper-tippee cases, to mitigate penalties and protect reputations.

• Market Manipulation: Handling allegations of manipulating stock prices or trading practices, such as pump-and-dump schemes or front-running, to ensure compliance with securities regulations.

• Ponzi Schemes: Representing individuals or entities accused of orchestrating or participating in fraudulent investment schemes that promise high returns using funds from new investors.

• Investment Adviser Violations: Representing investment advisers accused of breaches such as mismanagement of client funds, undisclosed conflicts of interest, or operating without proper registration.