Wolff & Samson represents firms in the financial services industry and their officers, directors and employees in regulatory examinations, investigations and enforcement actions by Federal, State and SRO regulators.

The Firm regularly handles matters before the SEC, NASD, NYSE, FDIC, the Federal Reserve, CBOE, and various State regulators involving various subject matters, including:

• Market timing of mutual funds and variable annuities;
• Fee-based brokerage accounts;
• Mark-ups;
• Sales practices relating to variable annuities;
• Supervision;
• Marketing of high yield bonds;
• Market Manipulation;
• Licensing;
• Selling away;
• Inadequate Disclosure;
• Unauthorized trading;
• Options trading and supervision;
• Investment advisor services;
• Ownership and overdraft issues under the banking laws.

Recognizing that during the course of regulatory matters questions of criminal law also may arise, Wolff & Samson has the advantage of being a large and diverse law firm, whose attorneys include the former New Jersey State Attorney General and former Assistant United States Attorneys and state prosecutors from both New York and New Jersey.

In addition to representing clients in the context of an investigation, examination or enforcement action, we advise clients with regard to compliance related matters, such as questions relating to supervision, books-and-records maintenance, U-4 and U-5 filings, and customer privacy.