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If you have received a letter, notice, or subpoena from the DOJ, the SEC, FINRA, or a state securities regulator regarding an investigation into you or your financial services firm, you must hire an experienced attorney to prepare a narrative that seeks to clear and absolve you from any alleged crimes, regulatory issues, or securities violations.
Failure to comply with SEC, FINRA, or state regulations can result in one or more of the following: an enforcement action, a bar from the industry, civil fines, or forfeiture. If you or your firm becomes the subject of an investigation or regulatory enforcement action, you may be asked for a proffer session or on-the-record (OTR) testimony. It is imperative to approach this interview or testimony with a sound legal strategy. How you present your information at this interview or testimony can make the difference between no further action being taken against you or your firm, or the investigation escalating into a criminal indictment or enforcement proceeding. The experienced attorneys at Warren Law Group can help you prepare your best possible defense.
The Warren Law Group attorneys, led by Christopher Warren, have joined Scarinci Hollenbeck, LLC. Warren and his team of attorneys help launch a dynamic 25-attorney financial services, government investigations, and business litigation law office in Manhattan, NYC. This deal not only marks a significant expansion for Scarinci Hollenbeck, LLC into New York, but also reinforces its commitment to providing top-tier, diverse legal solutions in the heart of Midtown Manhattan.
“Teaming up with Scarinci Hollenbeck, LLC is a big step for us. It puts us in the league of firms that large companies trust in New York City,” said Christopher Warren, Managing Partner of Warren Law Group. “I’m thrilled to work with my new colleagues at Scarinci Hollenbeck, LLC who, like us, are all about teamwork, innovative solutions, and relentless dedication to our clients. We’re using the latest tools to bring real value to our clients, a kind of value that traditional law firms just don’t offer.”
Press Release: Read the Official Announcement
Scarinci Hollenbeck, LLC defends individuals and companies in all types of litigation. Our team has decades of experience in all types of litigation, white collar defense, securities litigation, and financial services enforcement proceedings.