Investigations and Regulatory Enforcement

Read & Co. represents clients in internal investigations and those brought by federal and state agencies, including the Department of Justice, Securities and Exchange Commission, New York Attorney General, New York Division of Consumer Protection, and self-regulatory organizations such as FINRA. We particularly focus on investment professionals, senior executives, and CFOs and other accounting managers. We employ creative negotiation and advocacy strategies to help our clients. Where needed, we have litigated enforcement and other proceedings, achieving tremendous results that allowed our clients to pursue their professional interests.