Securities Trading & Market Manipulation

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Overview

RK&O's expertise in representing entities and individuals in investigations regarding securities trading and market manipulation stems from years of experience in both public and private practice. Our lawyers include senior officials from the SEC and the U.S. Attorney’s Office for the Southern District of New York, as well as experienced private practitioners with a deep-seated understanding of the U.S. and international capital markets. We regularly engage with FINRA, the SEC and federal and state prosecutors in the context of investigations, enforcement actions, examinations and inspections and sweeps.

Experience

  • Global investment bank insider trading referral to SEC.
  • Hedge fund "marking the close" investigation by SEC.
  • Representation of multiple hedge funds in connection with investigations by the U.S. Attorney's Offices for the Southern District of New York and the SEC regarding short selling violations and the alleged spread of malicious rumors.

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