Areas of Practice

Securities Regulatory Defense, Litigation and Arbitration - We represent clients in civil and criminal actions, arbitrations, investigations and administrative proceedings involving the United States Securities and Exchange Commission; the Department of Justice; the National Association of Securities Dealers, Inc.; the New York and American Stock Exchanges and State Securities Commissions and Attorneys General.

Securities Law and Regulatory Compliance - We advise clients and assist in implementing procedures for compliance with: corporate governance requirements of Sarbanes-Oxley, the NASD and the stock exchanges; Public Company SEC reporting and disclosure requirements; and, Broker-Dealer rules, regulations and procedures.

Internal Investigations - We serve as independent counsel to Boards of Directors and Board Committees to conduct independent investigations and prepare reports where issues and questions arise regarding corporate misconduct.

Securities Expert Witness - Tom Tenenbaum has been qualified, prepares reports and provides testimony as an expert witness in state and federal courts. He has testified in civil and criminal cases before courts and juries.

Securities Litigation Co-Counsel - We serve as co-counsel with other attorneys in cases that involve securities law issues as to which such attorneys seek advice on case evaluation, strategy or conduct. We also serve as local co-counsel for out of state attorneys.