Gregory S. Bruch represents public companies, audit committees and special committees, broker-dealers, hedge funds and asset managers, accountants and lawyers, and other institutions and individuals in connection with civil and criminal securities law enforcement, compliance and litigation. He represents clients SEC Enforcement defense in a wide variety of complex commercial litigation matters, as well as enforcement proceedings before the SEC, the Offices of the U.S. Attorneys, the New York State Attorney General and New York State District Attorneys, as well as FINRA and various exchanges, and state securities and insurance regulators.
During 14 years at the SEC, Steve managed the Enforcement Division's large Trial Unit in prosecuting hundreds of jury and non-jury securities cases in federal court and administrative proceedings, while participating in investigations and settlements.
The group includes a number of highly experienced former federal prosecutors with extensive trial experience in securities law prosecutions, including the former Assistant Attorney General in charge of the Criminal Division of the US Department of Justice (DOJ), the former acting United States Attorney for the Eastern District of New York, the former Chief of the Securities and Commodities Fraud Unit in the Southern District of New York and the former Chief of the Enron Task Force.
Representation of a leading international broker-dealer and operator of alternative trading systems in regulatory and litigation matters relating to high frequency trading, including investigations by the SEC, the Financial Industry Regulatory Authority (FINRA), and New York Attorney General (NYAG), and federal securities class actions.
Howard represents firms and employees in the securities industry in a wide range of employment concerns, including compensation matters, employment and severance agreements, wrongful termination cases, Form U-5 issues, recruitment disputes and discrimination cases.
We have successfully defended clients in a number of derivative suits—as well as in SEC investigations—related to disclosures surrounding the progress of clinical trials, the US Food and Drug Administration approval process, and the safety and efficacy of their products.
His practice includes representation of financial institutions, stock transfer agents, real estate developers, accounting firms, health care facilities, and a range of employers in complex disputes, investigations, litigations, examinations, and administrative and enforcement proceedings.
We help our clients design effective regulatory compliance and risk management programs, register appropriate entities with the SEC and CFTC, comply with ongoing regulatory and periodic filing requirements and prepare their compliance manuals, including codes of ethics, sales practices, supervisory practices, reporting, recordkeeping, trading, marketing, advertising, cybersecurity, privacy policies, anti-money laundering policies and business continuity plans.
From January 2012 through June 2014, Lorin served as Chief of the Criminal Division of the U.S. Attorney's Office for the Southern District of New York, where he supervised the investigation and prosecution of federal crimes by a team of more than 160 Assistant U.S. Attorneys.
Philip Khinda is one of the nation's leading securities lawyers, litigators, and advisers to public companies, corporate boards, special committees, and financial institutions dealing with corporate crises, shareholder and derivative litigation, and government and internal investigations.
We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas-Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa-St.
Covington's securities and commodities enforcement attorneys regularly represent clients before the SEC, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), regional exchanges, and state securities regulators.