We devote our practice to regulatory cases and investigative work, litigation and corporate law. Our lawyers have decades of experience trying securities arbitrations and regulatory cases before administrative law judges, agency hearing panels and a variety of arbitration tribunals as well as business risk management, including compliance obligations.
For all right judgment of any man or things it is useful, nay, essential, to see his good qualities before pronouncing on his bad - Thomas Carlyle
We have extensive experiene representing individuals and institutional clients in the financial services industry in a wide range of civil litigation matters. We represent clients in arbitration proceedings before the American Arbitration Association and FINRA. Our clients have included individuals, officers and directors, and financial institutions.
Our attorneys have specific expertise in a number of areas in which they help clients meet regulatory and obligations. We have experience working with regulatory agencies such as the U.S. Securities and Exchange Commission (SEC), FINRA and the CFTC. We also understand how to work with regulators and how to craft and negotiate successful resolutions of controversies.
We have vast experience representing senior executives, officers and directors, lawyers, and various other entities and individuals in corporate matters. We have crafted various contractual obligations, including non-compete and non-disclosure agreements, vendor agreements, and other documents related to finance activities and other business matters.
Our attorneys assists clients in managing and prioritizing their legal, compliance and fraud risks in practical and effective ways. We work collaboratively with the organization to design, implement and assess programs to remediate and mitigate violations of law or regulations, as well as misconduct negatively impacting institutions.
Our attorneys have vast experience defending senior executives, officers and directors, lawyers, and various other entities and individuals in investigations and trials involving a wide range of securities, bank, financial, and accounting fraud matters.
Cases have involved allegations or charges of insider trading, securities fraud, stock option backdating, money laundering, bank fraud, mail and wire fraud, Dodd-Frank Act violations, and books and records violations, among other types of cases.
Mediation may take many different forms, and mediators often follow their own unique paths to understand a dispute and effectuate a settlement. We work with only highly experienced mediators and those with whom we have had excellent results on behalf of our clients.
Often, our attorneys reach a favorable result that might not be possible through trial alone. We assess which venue is best suited for each case. Our attorneys have represented clients in a wide range of contracts and general corporate matters.
I have known Harold for more than a decade and know him to be a consummate professional. He is extremely knowledgeable in the areas of securities law and compliance, particularly in the fixed-income arena. I have sought his advice and counsel in the past and would recommend him to any organization.
Harold is detailed oriented and very professional in his work. He provides a fresh perspective and solid legal experience in the areas of corporate compliance to any business, venture or legal department. He is reliable and responsible and will take the extra time necessary to do a complete and thorough job. He is a team player, has a great personality and is such a pleasure to work with.
Harold and I worked together while I was at Prudential, and also during his time at M.R. Beal. I have always found him to be articulate, intelligent, and having a keen grasp of complex legal and compliance issues. I have sought Hal's advice on many occasions throughout the years to assist me with regulatory issues, and compliance related business issues. I highly recommend Harold for the competencies he exhibits in his professional work.
Harold is a very knowedgable and experienced consultant with extensive and unique experience in the legal and compliance areas within financial services. In working with him, we found him to be an excellent business partner and collaborator.
Hal is a very intelligent, trustworthy and reliable securities attorney who I highly recommend. I could always rely on his knowledge, candor and incite on the various complex issues and matters we worked on together while at Prudential Securities. He is a true professional.