Skilled Guidance Throughout The Regulatory Process
Many professionals in the financial and securities industries must comply with very specific state and federal rules as part of their daily activities. Understanding which rules apply to which situations can quickly become confusing, and it can be difficult to stay informed about what must be done in order to stay in compliance.
The law firm of Ford O’Brien, LLP, in New York, has helped many individuals and companies facing regulatory concerns. Our attorneys will help you navigate what is often a very complex area of law.
Helping You And Your Company See The Big Picture
Often, many of the issues that we see have two components, both criminal and civil exposure. You and your company need to make sure that the legal strategy you put in place effectively deals with both aspects, or else you could find yourself facing some significant penalties.
We have attorneys on our team with extensive experience resolving both civil and criminal aspects of these cases. When we examine your situation, we want to make sure that the approach we take puts you in the best possible position for success. Our lawyers have handled a number of high-profile cases involving securities and accounting matters, including:
- Securities and Exchange Commission (SEC) investigations
- Banking issues relating to the Federal Reserve Board
- Cryptocurrency compliance and regulatory defense
- Accounting defense
- FINRA defense
- Data breaches and suspicious activity reports (SARs)
- Other state and federal regulatory bodies
We know that you are turning to us to get the advice you need to fully address your legal problems. We will devise a thorough and comprehensive approach that helps you effectively and efficiently deal with your concerns.
In some situations, it may be necessary for you to appear at a hearing before one of these administrative agencies. Our attorneys are prepared to represent you at these hearings, and will do everything possible to ensure your rights are protected at all times.