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Securities Regulation & Litigation

SLG represents hedge funds, investment advisors, and financial professionals who face adverse action from the SEC, FINRA and/or state regulators. We respond to regulatory actions, including investigations, administrative proceedings, and lawsuits. SLG understands the importance of providing cost effective service and the need to address issues before they effect shareholders or potential investors.

SLG has represented clients in connection with claims under the Investment Advisors Act, the U.S. Securities Acts, and state Blue Sky laws, our approach is to provide a thorough defense while engaging in a dialogue aimed to produce a prompt, informal resolution.

SLG also represents officers, directors, and investment advisors in securities lawsuits alleging breach of fiduciary duty, violation of securities laws, or as in recent Ponzi scheme cases, in actions seeking to “claw back” phantom gains. We believe SLG’s substantial practice representing investors gives us added credibility, whether we are negotiating with government lawyers or private plaintiffs’ counsel.

Representative Cases:
  • Representation of hedge fund in connection with SEC insider trading lawsuit (U.S. District Court).
  • Representation of hedge fund in contractual dispute arising from swap agreement with leverage provider.
  • Representation of real estate fund investment advisor in SEC investigation of alleged disclosure violations, misuse of investor funds, and improper accounting practices.
  • Representation of real estate investment issuers in connection with California Department of Corporations lawsuit alleging violation of State laws governing registration and sale of securities, and disclosure requirements.
  • Representation of “sub-feeder” hedge funds in connection multiple lawsuits arising from the Madoff and Palm Beach Capital Ponzi schemes.