E&W attorneys specialize in commercial litigation with a particular emphasis in broker-dealer, hedge fund, and insurance defense. We also represent clients in government enforcement actions and provide a full range of corporate compliance counseling. Our clients receive direct attention from senior attorneys with extensive industry-specific expertise.
Litigation
E&W attorneys represent clients in trial and appellate courts at the federal and state level, before administrative tribunals and in arbitrations and mediations. We regularly defend some of the world's largest and most respected financial companies in customer disputes, employment, trade secret, and corporate raiding cases.
Regulatory Enforcement Litigation
E&W attorneys represent financial planners, investment advisers, money managers, hedge funds, banks and broker-dealers before the SEC, DOJ, CFTC, NYSE, FINRA, and the Department of Labor. We offer a full range of counseling for clients at all stages of enforcement proceedings, including informal inquiries, administrative actions, and formal investigations.
Regulatory Compliance
E&W attorneys provide counsel and compliance outsourcing to financial companies, pension plans and investment professionals striving to stay abreast in today's rapidly evolving regulatory environment. We assist corporate counsel in reviewing, initiating, executing, and overseeing ethics and compliance programs. We also provide comprehensive consultation to boards of directors and special committees concerning corporate governance matters. Our attorneys have specialized knowledge of the challenges facing financial companies attempting to attain compliance with the Gramm-Leach-Bliley Act (GLBA), the Employee Retirement Income Security Act (ERISA), the Pension Protection Act (PPA), the Sarbanes-Oxley Act (SOX), and the USA PATRIOT Act, as well as the regulatory mandates of the CBOE, CFTC, FINRA, NYSE and SEC. Given our extensive experience in securities defense, E&W attorneys have the foresight to counsel our clients in developing procedures to avoid prospective exposure.
Registered Investment Adviser Services
E&W offers registration advice and assists clients in compliance with the rules and registration of investment advisor firms. In doing so, we review, analyze and implement the appropriate supervisory and compliance structure; identify and recommend the appropriate organizational structure; identify and complete requisite filing requirements, including the preparation and filing of Form ADV and applicable schedules, with the SEC and/or applicable state(s); customize investment management and client agreements; prepare solicitor disclosures and agreements; customize policies and procedures manual(s); prepare business continuity plan; provide consulting/training services on applicable compliance issues; and interface with the SEC and or state securities regulators.
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Please Contact Us for further information, 310.937.2066.