Regulatory Practice

We have represented both businesses and individuals where violations of State or Federal regulations have been alleged. By way of example, in New Jersey alone, we have assisted Doctors, Dentists, Realtors, Veterinarians, Securities Brokers, Teachers, Bankers, Restaurateurs, Liquor Licensees, and Train Conductors, just to name a few. These proceedings include representations before a professional licensing board, before an appointed hearing officer, in an Administrative Court system before a judge, and other contexts. Additionally, our attorneys have extensive experience representing law enforcement professionals in administrative proceedings.

As the core of our work is White Collar Criminal Defense, the regulatory spheres we perhaps know most intimately are those relating to finance and the markets for securities and commodities. We have represented a multitude of businesses and individuals accused of regulatory violations in these areas, as such violations are often otherwise punishable as crimes under any number of different statutes. We have represented brokers, dealers, traders, and other individuals and entities involved in the securities and/or commodities industries before the federal Securities and Exchange Commission (SEC), the federal Commodities Futures Trading Commission (CFTC), and the New Jersey Board of Securities. Disputes with these agencies can be litigated both administratively and in the courts, and our white-collar defense practice has frequently found us litigating against the Securities and Exchange Commission in the United States District Courts. We have also been involved with disputes with the Financial Industry Regulatory Authority (FINRA), which is actually a private corporation and not a federal department or agency, but which very much acts as one, promulgating rules that govern the conduct of many market participants, imposing penalties and sanctions for their violations, and referring more serious matters to SEC for its consideration.