Securities Litigation, Regulatory and Internal Investigations

With our extensive knowledge of the investment and management process, Leader Berkon Colao & Silverstein offers counseling and representation in a wide range of securities matters. We are experienced in representing public and private companies, officers, directors, senior management, broker/dealers, and traders in securities class actions, shareholder disputes and derivative litigation, market manipulation cases, merger and acquisition disputes, and other investment-related litigation. We have developed significant experience working with the financial services industry and have experience both with the SEC and with FINRA member and customer arbitration. Leader Berkon Colao & Silverstein also has broad experience representing hedge fund and private equity firms in a variety of disputes related to their investments and funds.

Leader Berkon Colao & Silverstein also has significant experience in handling regulatory inquiries and internal investigations. Our investigations, among other things, provide clarity on potential liabilities and critical guidance on important and sensitive issues impacting our clients. We have a track record of effectively identifying exposures and available mitigation actions and other solutions.

Our experience includes matters relating to regulatory and governmental inquiries, allegations of executive misconduct, accounting fraud, self-dealing issues, investor allegations and securities law violations.

As part of our work, we have experience interacting with the SEC, FINRA, IRS, the DOJ and other governmental and regulatory agencies.