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Self-Regulatory Investigations & Litigation Defense

Mintz & Gold has extensive experience in representing registered financial firms and individuals in connection with regulatory investigations and enforcement actions filed by self-regulatory organizations (“SROs”) such as the Financial Industry Regulatory Authority and the Chicago Board Option Exchange. This practice area is headed by Ira Lee Sorkin who served in senior positions at the U.S. Attorney’s Office in New York (Deputy Chief of the Criminal Division for the Southern District), at the Securities & Exchange Commission (Director of the SEC’s New York office) and as the Chief Legal Officer of a member firm of the New York Stock Exchange (Nomura Holding America, Inc., and Nomura Securities International, Inc.). Under our current regulatory regime, SROs such as FINRA and the CBOE have the authority to investigate registered firms and file enforcement actions that can strip institutions and individuals of membership, thereby ultimately depriving individuals of their livelihood. Both FINRA and the CBOE are ultimately regulated by the Securities and Exchange Commission. Notably, the CBOE recently reached a regulatory services agreement with FINRA pursuant to which FINRA will handle enforcement matters on CBOE’s behalf.

For more information, please contact Ira Lee Sorkin.