A regulatory investigation can harm or even destroy an individual’s career, and can imperil the very existence of a business. That's why clients depend on Arkin Kaplan Rice attorneys to defend their interests in investigations and proceedings before a wide range of regulatory bodies. We have earned a reputation for approaching such cases with characteristic tenacity and vigor, whether the case involves a contested hearing or a delicate negotiation.

A Singular Depth of Securities-Related Expertise

Clients turn to Arkin Kaplan Rice for our experience in litigating significant matters with securities regulators, both in administrative proceedings and in court. We represent financial industry clients in investigations and proceedings of regulatory agencies, including the Securities and Exchange Commission and the Federal Reserve Board, and self-regulatory organizations such as FINRA. Clients range from major investment banks to small-cap brokerage houses, their top-level management and individual brokers.

Taking A Broad View of Clients' Business Interests

Clients rely on our ability to defend their broad business interests during every phase of the regulatory process. Accordingly, we consult closely with clients during the investigative stages, with an eye toward avoiding administrative enforcement actions of any sort. If matters proceed further, we work with the client to develop a strategy for achieving the best possible result, whether that be a Wells submission, litigation, or administrative settlement. Moreover, in shaping our representation to meet the client's larger goals, we look beyond the narrow implications of regulatory defense. We are mindful that decisions made in the course of handling a regulatory investigation can have far-reaching impact on potential civil and criminal cases.