Our firm represented a national broker-dealer after one of its executives secretly created a Ponzi scheme and stole $1.5 million from the broker-dealer's clients. The firm handled all aspects of the matter, including conducting the internal investigation; handling the multiple regulatory investigations by the SEC, FINRA and other state agencies; and defending against all related civil litigation.
Broker-Dealer Resolves Ponzi Scheme Investigations/Litigation
Lead Contacts
