Secretariat’s testifying and consulting experts assist investment advisors, broker-dealers, and other market participants and their counsel through every stage of regulatory investigations and disputes. We provide deep expertise in fraud detection, compliance obligations, risk management, and complex trading and market activities.

With the regulatory landscape changing at an increasingly rapid pace, engaging experienced professionals is critical. Our team includes former regulators and industry insiders with extensive knowledge of SEC, FINRA, DOJ, OCC, CFTC, and other financial regulations. This expertise allows us to craft effective strategies for resolving investigative inquiries and disputes.

Our Brokerage Compliance and Disputes team provides a comprehensive range of services such as:

• Regulatory Compliance. Advising on regulatory systems, including supervision, internal controls, AML and compliance and risk programs.
• Fraud & Market Manipulation. Detecting and analyzing trading and account activities that may violate securities laws and regulations.
• Standards of Care & Conflicts of Interest. Supporting firms in navigating Reg BI, suitability standards, fiduciary obligations, and disclosure requirements.
• Trading & Market Practices. Providing insights on best execution, trade reporting, structured products, and mutual fund investments.
• Financial Services Risk Management. Developing risk mitigation strategies for regulatory investigations, litigation, and compliance programs.
• Custody & Settlement. Assessing custody and settlement risks, compliance, and operational procedures.
• Complex Products & Digital Assets. Consulting on enforcement actions related to digital assets, derivatives, and structured finance products.

Secretariat experts offer comprehensive litigation support, including discovery and damages analysis, and regulatory consulting to help clients proactively manage risks and effectively respond to enforcement actions.

Key Experts