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FINRA Investigation of AML Policies and Procedures Represented a large broker-dealer in connection with a FINRA investigation of the client's policies and procedures for anti-money laundering (AML) compliance.
FINRA Investigation of Options Trading Represented a highly automated market maker in connection with a FINRA investigation of the client's options trading.
Representation of Highly Automated Broker Dealer Foley represented a highly automated broker-dealer in connection with a FINRA investigation that dealt with trading practices and supervision. The FINRA staff pursued...
Independent Consultant for Multinational Broker-Dealer Appointed by a large multinational broker-dealer to serve as an independent consultant to review the client's policies, procedures and compliance with SEC rules...
FINRA Inquiry Into Possible Insider Trading in the Securities of the Target of a Merger FINRA sent routine inquiry letters asking the client to identify persons with knowledge of a merger before the information was made public. Foley assisted the client...
FINRA Investigation of a Large Multinational Broker-Dealer for Failure to Preserve Electronic Communications Assisting with response to regulatory inquiry as to electronic communications.
FINRA Investigation of Former Employees of a Large Broker-Dealer in Connection With Sales of Hedge Funds Represented five former registered representatives of a major Wall Street firm in connection with an investigation by the Financial Industry Regulatory Authority...
Defended Broker-Dealer in Multi-District Class Action Represented Morgan Keegan & Company, in a multi-district class action antitrust action pending in the Southern District of New York. Morgan Keegan, along with...
FINRA Customer Arbitration and Related Federal Court Injunctive Action Represented a clearing firm in a FINRA arbitration filed by customers of a broker-dealer for which the clearing firm provided services. Four groups of customers...
Defense of Customer Arbitration Filed Against Clearing Firm Client Represented a clearing firm in defense of an arbitration proceeding brought by a claimant customer before the New York FINRA arbitration panel. After filing a strong...