Search for "SECURITIES AND EXCHANGE COMMISSION"

A highly experienced attorney with a broad spectrum of legal expertise and extensive track record of success in Securities, Corporate, Business, Real Estate, and Construction Law. Strengths include specialized knowledge of broker-dealers, investment managers, investment companies, insurance securities, investment advisers. Extensive experience with private placements, entrepreneurial ventures, venture capital, and private equity. Helps starts-ups to $Billion dollar entities with financing rounds, offerings, and planning. Additional qualifications include accounting investigations and related securities investigations and litigation. Corporate Law skills in M & A, financing transactions. Extensive real estate skills as counsel and as owner, in the acquisition, development, construction,...

Mr. McDonald's practice consists of business, corporate and securities representation, as well as securities and commercial litigation and securities and corporate transactions. He has counseled clients in various financings and securities transactions, including public and private offerings, mergers and acquisitions and tender offers. He has also represented investment advisers and broker-dealers. He also advises public reporting clients regarding corporate governance, disclosure/reporting and compliance matters. In addition, Mr. McDonald regularly advises businesses on choice of entity and formation matters. His securities litigation practice has included representing plaintiffs and defendants in complex class and derivative actions, representing underwriters with respect to county...

Stephen M. Kohn, along with his partners are America's leading whistleblower attorneys. He successfully represented the most important tax whistleblower in U.S. history (Bradley Birkenfeld) and won the largest whistleblower reward ever paid to an individual whistleblower ($104 million). Since 1984 his practice has focused exclusively on advocating for whistleblowers, expanding laws that protect and reward whistleblowers and litigating many cutting-edge cases. He has successfully represented whistleblowers under numerous state and federal laws, including the False Claims Act/qui tam laws, and established important precedent protecting whistleblowers under the First Amendment. Since 2009 his practice has expanded to helping...

Lynne Bolduc, a Partner with Oswald & Yap, practices securities and corporate law. She represents both private and public companies, as well as investment bankers and broker/dealers. Lynne's experience includes entity selection and formation matters for businesses just getting started, contract negotiations and drafting, mergers and acquisitions, private offerings, taking private companies public, and public company reporting with the Securities and Exchange Commission. She has structured and implemented over $1 billion in financings.

Sean Prosser defends clients facing investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), U.S. Department of Justice (DOJ), including FBI and Grand Jury proceedings, and other government agencies. He also defends companies and their executives in shareholder litigation. With offices in San Diego and Los Angeles, Sean leads Mintz Levin’s California Securities Litigation practice. His clients include public and private companies, officers and directors, board committees, broker-dealers, banks, investment advisors, hedge funds, CPAs, individual stock traders and public officials. Sean regularly represents clients before the following agencies and regulators: U.S. Securities and Exchange Commission...

David T. Bartels is an experienced business attorney, representing businesses, and their officers and directors, in government enforcement actions, class actions and complex commercial litigation, as well as transactional and regulatory issues.

His experience includes securities and government enforcement litigation, complex commercial litigation, and intellectual property litigation. Mr. Bartels advises corporate directors and defended individuals, companies, underwriters, financial institutions and accounting firms in shareholder class action and derivative lawsuits, merger and acquisition disputes and in proceedings before the Department of Justice, the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and the Federal Trade Commission (“FTC”). Mr. Bartels...

My practice is 100% dedicated to the defense of individuals and businesses accused or suspected of committing federal white collar crimes. This includes defending against federal white collar criminal investigations conducted by the United States Department of Justice (DOJ) and parallel proceedings brought by federal agencies such as the Securities and Exchange Commission (SEC), Federal Trade Commission (FTC), and the Internal Revenue Service (IRS). It's all I do. I've been representing and defending white collar clients for the past 23 years. During that time period I have kept scores of clients from ever being charged with a federal white collar criminal...

Mr. Si focuses his practice on immigration and nationality law. He also counsels on family law matters and provides strategic advice on business formation, real estate, investment, and international trade.

He has represented multinational companies in carrying out internal audits and discovery in response to Federal Trade Commission (FTC) and Securities and Exchange Commission (SEC) investigations. In addition, he handled False Claims Act litigation and investigations to provide specialized, industry-specific counsel and service requiring coordination with the Justice Department, state, and local law enforcement entities. He also has experience handling Equal Employment Opportunity Commission (EEOC) discrimination matters.

Martin P. Russo is an accomplished litigator with more than 20 years of experience handling complex business litigation in state and federal courts nationwide, as well as before a panoply of alternative dispute resolution forums. His practice includes sophisticated commercial disputes, financial services litigation, regulatory defense, white collar defense, corporate compliance and internal investigations for publicly-held and private companies in the?United States?and abroad.

Marty has developed a robust practice representing prominent local and international individuals and entities in multi-jurisdictional litigation. His ‘value-added’ and a key driver of success is the ability to craft and execute innovative strategies to accomplish his clients’...

LAWRENCE O. HELD is an associate attorney with Kitroser & Associates. Mr. Held is a 2017 graduate from the University of Florida Fredric G. Levin College of Law. Prior to law school, he attended Florida International University where he obtained a Bachelors in History and a Masters in Latin American and Caribbean Studies.

Born and raised in Miami-Dade County, Mr. Held is a Cuban-American South Florida native. He has both complex litigation and transactional experience. He has previously interned with the Securities and Exchange Commission, with both the Enforcement Division and the Office of Compliance, Inspections, and Examinations, where he worked...

Mr. Morris is a former SEC Enforcement Attorney. He specializes in complex securities litigation with special emphasis in representing issuers, officers and directors, investment funds, analysts, and brokers in connection with Securities and Exchange Commission and Financial Industry Regulatory Authority investigations, litigation, and arbitration.

Thatcher is a highly experienced AV-rated commercial finance, aviation and structured finance lawyer, who has worked with airlines, power companies, manufacturers, banks and export credit agencies all over the world on documenting and litigating complicated financial transactions. In addition, his airline passenger rights practice is world famous since his victory in New York over Continental Airlines in 2005 establishing passenger rights under contract in denied boarding scenarios. Thatcher has extensive experience with export credit agencies, the rating agency process at national statistical rating agencies like Moody's and S& P, and just about every facet of the aviation industry. Currently Thatcher...

It is my Honor to represent Working People to help them to successfully navigate the Workers' Compensation System. My goal is to honestly work to maximize benefits in a difficult system. My role is to advise, advocate and litigate an Injured Workers' Rights.

1983 Graduate of Emory College of Emory University Joint Degree Economics/Political Science
Governors Intern Program; Fulton County State Court
1986 Graduate of Emory University Law School
Internship Securities and Exchange Commision; Internship Cobb County District Attorney's Office

Chair of Atlanta Bar Workers' Compensation Section 1994
State Bar Fraud Study Commission
Friend of Labor Award 2014; 2015
Numerous speaking engagements...

Albukerk & Associates was founded by Nick Albukerk. Nick has 30 years of experience with every facet of litigation. He has tried over 700 cases, and handled thousands of criminal, injury, medical fraud, malpractice, civil rights and Securities and Exchange Commission cases. Call us and for free we can discuss the details of your case and examples of the excellent results we have achieved in cases similar to yours.

BILL SINGER is a lawyer who represents securities-industry firms, individual registered persons, Wall Street whistleblowers, and defrauded public investors. For four decades, I have represented clients before the American Stock Exchange, the New York Stock Exchange, the Financial Industry Regulatory Authority (formerly the NASD), the United States Securities and Exchange Commission, and in criminal investigations brought by various federal, state, and local prosecutors. I have the distinction of representing witnesses during Congressional investigations; and in 2015, I achieved a significant award of approximately $1.5 million from the Securities and Exchange Commission on behalf of a whistleblower client, who was the...

Kevin K. Hull is an experienced securities lawyer who benefits clients with his multifaceted background from multiple positions in the securities industry, regulation and law since 1988. Prior to reentering private practice, Mr. Hull was the CEO of Grubb & Ellis Securities, Inc., a position he held for nearly six years. Responsible for all aspects of the firm, including compliance, accounting, national accounts and sales management, Mr. Hull was successful in managing the structure and operations of the firm to be in line with current regulatory expectations while achieving sales during his tenure of approximately $3.4 billion across multiple product...

Mr. Brian Higley graduated from the University of Utah S.J. Quinney College of Law and has focused on securities law his entire legal career. He is licensed to practice in the State of Utah and is a member of the Utah State Bar Securities Section. He is also fluent in Spanish.

Mr. Higley assists various clients primarily in the areas of public company disclosure, corporate finance, and mergers and acquisitions, including private placements, public and private offerings, Securities and Exchange Commission and Blue Sky compliance and reporting requirements, asset and stock purchases, and general corporate practice.

During law school, Mr. Higley externed...

Roxanna Talaie represents corporations, boards of directors and individuals in a variety of practice areas. Her focus includes securities litigation, personal injury and workers’ compensation matters. She began her legal career with one of the country’s most prominent securities litigation firms, which handled a broad array of cases involving United States Securities and Exchange Commission matters; litigation practices, including class actions, discovery, state and federal proceedings; meticulous client preparation; case evaluation; and portfolio monitoring. Later, she defended insurance carriers, third party administrators and employers in workers’ compensation matters at one of the oldest workers’ compensation firms in California. Currently, she...

Mahal is a family law attorney based in the San Francisco Bay Area. She began her practice in 2014, having spent the previous fourteen years as a law clerk, educator, and paralegal specialist for the U.S. Securities and Exchange Commission. Her law practice integrates her passion for civil rights and her love for community. Mahal was born in Vallejo, and after a series of family tragedies enrolled herself in the tenth grade at Oakland Technical High School. She was legally emancipated as a minor the following spring. These childhood experiences inspired her to become an attorney and...

Bruce Lewitas has litigated financial services disputes for three decades, beginning his career as an Enforcement attorney for the United States Securities and Exchange Commission (SEC) and thereafter serving as both in-house and outside counsel representing both individuals and broker-dealers. Bruce has overseen thousands of matters involving customer disputes, employment matters, regulatory inquiries and internal investigations.

At Lewitas Hyman PC, our core values include putting the client first and providing cost-effective counsel coupled with professional and aggressive advocacy.

For over 25 years Doug Hyman has been representing investors, brokerage firms, registered representatives, investment advisor representatives and RIAs in various types of matters relevant to the financial services industry, both in the context of general counseling and in connection with representing clients nationwide in arbitrations and in state/federal courts.

At Lewitas Hyman PC, our core values include putting the client first and providing cost-effective counsel coupled with professional and aggressive advocacy.

Doug is also committed to serving his profession and community. For many years he has served as Treasurer for the Association of Securities and Exchange Commission Alumni Association, a non-profit...

David W. Schmidt has been handling securities arbitrations for over 30 years and has earned a national reputation as one of the most effective advocates in the field. Mr. Schmidt has represented clients in securities cases in New Jersey, New York, Florida, California, and many other jurisdictions. His experience includes cases related to broker fraud, Ponzi schemes, unsuitable trading, complex products, excessive commissions, elder law, and retirement account losses. He also has handled “selling away” cases where a broker recommends an investment that has not been approved by his firm and the firm has failed to adequately supervise the broker’s...

Mr. Badala is a partner in the Napoli Shkolnik's Complex Commercial Litigation and Consumer Class Actions department. Sal focuses his practice on handling disputes concerning directors and officers liability, partnership liability, securities fraud, antitrust, RICO, tortious interference with contracts and economic relations, business fraud, limited liability companies, contracts, and trade secrets.

Previously, at Cahill Gordon & Reindel LLP, he conducted internal investigations and assisted in the representation of individuals and entities in regulatory enforcement and white collar criminal matters before the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Securities & Fraud Commission of Hong Kong, the Financial Conduct...

New York attorney Timothy J. Dennin is a focused advocate for investors, not a general practice litigator. His extraordinary record of recovering lost money, and his national and international clientele attest to his commitment to seeing justice done.

Timothy J. Dennin began his career as an assistant district attorney in Nassau County, New York, and subsequently as a lawyer in the Washington, D.C., office of the Securities and Exchange Commission. Mr. Dennin received a J.D., with honors, from St. John’s University School of Law in 1983 and a Bachelor of Arts from the College of the Holy Cross in 1978.

He is...

Since 1990, Bob Gonser has practiced in the securities area, including representation of public investors before the Financial Industry Regulatory Authority (formerly NASD), New York Stock Exchange and Pacific Exchange. He has successfully handled hundreds of cases involving losses sustained in brokerage accounts as a result of wrongdoing, mismanagement and fraud by brokers and brokerage firms. Over the years, Mr. Gonser's efforts have resulted in a multitude of awards and settlements for his clients including over $1.2 million in damages and interest for four employees of Cisco Systems in arbitration before the Pacific Exchange (Read the decision.) At Hunsucker Goodstein, he...

Has the thought of putting together an estate plan, trust , will, living will or power of attorney drain you? Do you need a guardianship for a loved one and don't know where to turn? Is the estate you need to administer or are about to probate making your life hectic? Has your family put you in charge of sorting a difficult family situation and you don't know where to turn or even the questions to ask? Do you need a plan for the future for yourself or a loved one that you have been putting off until now? Have you lost money due...