Business Litigation

RLO represents persons and entities that are involved in SEC, CFTC, NFA, NASD and self-regulatory organization inquiries, formal investigations, arbitrations and reparation actions. The Firm represents clients involved in enforcement actions concerning securities disclosure issues, and other areas of investment related actions. The Firm also represents corporate directors, officers and other individuals facing investigations and potential litigation.

Our litigation experience includes work in the following areas:

• Assistance with contract and partnership disputes
• CFTC reparations
• SEC and CFTC enforcement proceedings
• Assistance in the administrative enforcement area, including the negotiation of supervisory agreements, cease and desist orders, and civil money penalties
• Arbitrations before the NASD, the NFA and other arbitral organizations