Securities Fraud & Enforcement

Kostelanetz & Fink, LLP, frequently represents individuals and corporations involved in securities fraud cases brought both by regulatory bodies and by federal and state prosecutors.  We represent clients before the Securities and Exchange Commission, the New York Stock Exchange, and the Financial Industry Regulatory Authority, as well as United States Attorneys' Offices throughout the country.  Our partners have decades of prior experience serving as federal prosecutors in both the Southern and Eastern Districts of New York, which gives us the experience and expertise to represent clients in every phase of a regulatory enforcement action or a criminal investigation.

A few of our successes include:

  • Persuading the Securities and Exchange Commission to abandon insider trading claims against a family insider accused of having nonpublic information about an impending merger.
     
  • Persuading the Securities and Exchange Commission to abandon securities fraud claims against the ex-Chairman of a major telecommunications company.
     
  • Persuading federal prosecutors not to pursue "front-running" claims against a securities specialist.
     
  • Successfully defend traders accused by the CFTC of engaging in off-market trading.