Securities, Commodities and White Collar Defense

Finkelstein Thompson LLP attorneys have decades of experience representing clients faced with enforcement investigations and civil trials initiated by federal regulatory agencies, including the Securities and Exchange Commission, the Commodities Futures Trading Commission, and the Department of Justice.  Finkelstein Thompson’s clients have included companies, officers, board members, and other professionals.

The firm is highly cognizant of the consequences of accusations of misconduct, and works with each of its clients to provide dedicated and personalized representation from inception to conclusion.  It has represented individuals and organizations from across the country and around the world.

Finkelstein Thompson’s representation frequently prevents initiation of litigation following a regulatory investigation.  However, in the event a trial is necessary,, the firm has a proven record of accomplishment.  For example, in S.E.C. v. Butler, 2005 WL 5902637 (W.D. Pa. Apr. 18, 2005), the firm successfully defended a corporate executive in a trial of Securities and Exchange Commission allegations of insider trading.  And in SEC v. Wills, 472 F. Supp. 1250, 1978 U.S. Dist. LEXIS 7231, Fed. Sec. L. Rep. (CCH) P96,712 (D.D.C. 1978), the firm represented a CEO and, after a full bench trial, defeated the SEC’s demands for a permanent injunction and disgorgement