SLG represents hedge funds, investment advisors, and financial professionals who face adverse action from the SEC, FINRA and/or state regulators. We respond to regulatory actions, including investigations, administrative proceedings, and lawsuits. SLG understands the importance of providing cost effective service and the need to address issues before they effect shareholders or potential investors.
SLG has represented clients in connection with claims under the Investment Advisors Act, the U.S. Securities Acts, and state Blue Sky laws, our approach is to provide a thorough defense while engaging in a dialogue aimed to produce a prompt, informal resolution.
SLG also represents officers, directors, and investment advisors in securities lawsuits alleging breach of fiduciary duty, violation of securities laws, or as in recent Ponzi scheme cases, in actions seeking to “claw back” phantom gains. We believe SLG’s substantial practice representing investors gives us added credibility, whether we are negotiating with government lawyers or private plaintiffs’ counsel.
Representative Cases: