Regulatory Defense

Our Regulatory Defense practice developed alongside our traditional litigation and arbitration practices, serving the same top-flight investment managers for decades.

We defend enforcement investigations and actions and assist clients in responding to subpoenas and regulatory inquiries from the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission, the Chicago Board Options Exchange, the National Futures Association, the United States Department of Justice and the New York Attorney General’s Office, as well as by regulatory authorities in other countries.

These regulatory matters involve insider trading claims as well as a wide variety of other securities law issues.

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Marc Rosen serves as the firm's general counsel and chairs the Litigation & Risk Management Department for Kleinberg Kaplan. An accomplished litigator, Marc is called…

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