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Regulatory Enforcement and Investigations

Wilk Auslander is a highly experienced and trusted advisor to clients facing industry regulators, including inquiries and formal investigations. We have discreetly and swiftly helped our clients contend with inquiries and investigations instituted by a broad range of regulatory bodies and enforcement agencies, including the U.S. Senate Committee on Finance, the SEC, FINRA, the Department of Justice, state regulators, and attorneys general throughout the United States.

We regularly advise corporations, including large public companies, leading financial institutions, broker dealers, investment banks, hedge funds, public companies, registered representatives, directors, officers, and employees at every stage of the regulatory process. We have successfully handled regulatory inquiries and investigations, including matters involving allegations of corporate fraud, violations of FINRA rules governing broker-dealers, violations of SEC rules and regulations, and corporate governance malfeasance.

As the regulatory environment undergoes fundamental changes both domestically and internationally, Wilk Auslander provides its clients with comprehensive strategic advice — not only on the particular issue at hand but also on our clients’ overall regulatory, business, and commercial needs. The regulatory and investigations team at Wilk Auslander has years of experience dealing with regulatory investigations and regulatory agencies. We use our extensive experience to shape business-sensitive and realistic outcomes that strive to preserve and protect our clients’ competitive needs in an ever-changing environment.

We have successfully resolved, with no charges filed against our client, parallel investigations and inquiries by the SEC, FINRA, the New York Attorney General, and the United States Senate Finance Committee.