RLO represents persons and entities that are involved in SEC, CFTC, NFA, NASD and self-regulatory organization inquiries, formal investigations, arbitrations and reparation actions.  The Firm represents clients involved in enforcement actions concerning securities disclosure issues, allegations of fraud and self dealing by insiders, and other areas of investment related actions.  The Firm also represents corporate directors, officers and other individuals  facing investigations and potential litigation.  In addition, we counsel audit committees and other responsible parties regarding their obligations under the Sarbanes-Oxley Act.  The practice area also includes assisting clients with training in ethical decision making, fraud detection, internal investigations, and crisis management. 

Our litigation experience includes work in the following areas:

• Insider trading allegations
• Rule 10b-5 allegations
• SEC and CFTC enforcement proceedings
• Assistance in the administrative enforcement area, including the negotiation of supervisory agreements, cease and desist orders, and civil money penalties
• Assistance in enforcement actions brought against financial institutions concerning securities disclosure issues, allegations of fraud by insiders, and other areas
• Arbitrations before the NASD, the NFA and other self regulatory organizations
• White collar criminal matters from grand jury practice through trial