Favorable Settlement for Clients Regarding Sale of Unlicensed Securities

Represented clients charged with sale of unlicensed securities in relation to a billion-dollar real estate investment fund and Ponzi scheme. Secured favorable settlement with the Securities and Exchange Commission to the satisfaction of the clients.

Acquittal for Client in Securities Fraud Case

Secured acquittal for client in securities fraud case brought by the Utah State Division of Securities. Client faced four counts related to soliciting investors for a startup business, including absconding with investor funds, committing securities fraud and sale of an unregistered security. After a jury trial, the client was found not guilty on all counts.

Representing Compliance Officer in Money-Laundering Investigation

Representing the compliance officer for a securities brokerage firm in a multiyear investigation regarding an alleged money-laundering operation.

Investigation into Sale of Unlicensed Securities

Representing client in an investigation by securities regulators in multiple states regarding the sale of unlicensed securities related to two national Ponzi schemes.

Contact Us
  • Worldwide
  • Boston, MA
  • Denver, CO
  • Edwardsville, IL
  • Jefferson City, MO
  • Kansas City, MO
  • Las Vegas, NV
  • New York, NY
  • Philadelphia, PA
  • Princeton, NJ
  • Salt Lake City, UT
  • St. Louis, MO
abstract image of world map
Boston, MA
225 Franklin Street
26th Floor
Boston, MA 02110
Google Maps
Boston, Massachusetts
Denver, CO
4643 S. Ulster St.
Suite 800
Denver, CO 80237
Google Maps
Denver, Colorado
Edwardsville, IL
115 N. Second St.
Edwardsville, IL 62025
Google Maps
Edwardsville, Illinois
Jefferson City, MO
3405 W. Truman Boulevard
Suite 210
Jefferson City, MO 65109
Google Maps
Jefferson City, Missouri
Kansas City, MO
2345 Grand Blvd.
Suite 1500
Kansas City, MO 64108
Google Maps
Kansas City, Missouri
Las Vegas, NV
3770 Howard Hughes Parkway
Suite 200
Las Vegas, NV 89169
Google Maps
Las Vegas, Nevada
New York, NY
919 Third Ave., 37th Floor
New York, NY 10022
Google Maps
New York City
Philadelphia, PA
2005 Market Street
29th Floor, One Commerce Square
Philadelphia, PA 19103
Google Maps
Philadelphia, Pennsylvania
Princeton, NJ
100 Overlook Center
Second Floor
Princeton, NJ 08540
Google Maps
Princeton, New Jersey
Salt Lake City, UT
201 South Main Street
Suite 2400
Salt Lake City, UT 84111
Google Maps
Salt Lake City, Utah
St. Louis, MO
7700 Forsyth Blvd.
Suite 1800
St. Louis, MO 63105
Google Maps
St. Louis, Missouri