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Securities laws and regulations are routinely changed and reinterpreted by courts and regulators. Changes to rules and regulations could severely impact your case or dispute. Kaufman Dolowich attorneys stay up-to-date on the latest changes and interpretations to the securities laws and regulations. Our firm has defended individuals, corporate officers, registered representatives, and member firms before securities regulators in a wide variety of enforcement matters. We represent clients at each critical juncture in a SEC enforcement proceeding, including from an initial inquiry, through a formal investigation, including responding to administrative subpoenas for documents and “on-the-record” testimony, through the “Wells” process, and during litigation, including during settlement negotiations, pre-trial hearings, administrative hearings, and federal trials.

ATTORNEY NAME POSITION OFFICE
Co-Managing Partner, Fort Lauderdale, FL Office
Co-Chair of Financial Services & Institutions Practice Group
Fort Lauderdale, FL
Partner
Chair Emeritus of Professional Liability Practice Group
San Francisco, CA
Attorney Fort Lauderdale, FL
Kaufman Dolowich's General Counsel New York, NY , Hackensack, NJ
Partner Chicago, IL
Attorney Philadelphia, PA
Of Counsel Chicago, IL
Of Counsel San Francisco, CA
Attorney Fort Lauderdale, FL
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