While we provide a broad spectrum of services to a diverse clientele, we have developed a market-leading reputation representing financial services firms in the area of regulatory inquiry and enforcement. Our familiarity with the securities laws and the regulators and law enforcement bodies with applicable oversight is matched only by our skill in dealing with them and defending our clients.
This expertise has never been more critical. Not only have law enforcement bodies and regulators grown more aggressive, their reach has been dramatically expanded with financial reforms such as the Dodd-Frank Act. New registration requirements subject investment firms and asset managers to a host of regulations with which they may be largely unfamiliar. With developments such as the new SEC whistleblower program, law enforcement bodies will have access to more insider information than ever before.
In this environment of heightened exposure, clients must be prepared to face early-stage inquiries, document requests, regulatory examinations, investigations, wells notices or disciplinary hearings, we have successfully guided hundreds of firms through these challenges. We regularly appear before, and have long standing relationships with, government bodies such as the SEC, CFTC, US Department of Justice, United States Attorney’s Offices and state Attorneys’ General. We are equally established in appearing before SROs such as FINRA, NFA and NASD.
Our track record in defending disciplinary proceedings at trial is unparalleled. We have achieved landmark results that have actually set new precedents for the scope and reach of government oversight.
- FINRA Fines Merrill Lynch $1,000,000 Based on GKN’s Success in NY Court Regarding Arbitration
- GKN Chosen One of the New York Area’s Top Ranked Law Firms
- GKN Obtains Dismissal of StockCross Financial Services in $2,808,660 Arbitration
- GKN Prevails on Behalf of Raymond James in Arbitration Alleging $2,000,000 in Damages with Panel Assessing Entirety of the $20,850 in Hearing Fees Against Claimant.
- GKN Wins $8.1 Million for Clients from Merrill Lynch after 12 Day Hearing
- GKN Wins Historic Appeal: FINRA Lacks Authority to Enforce Collection of Disciplinary Awards