Skip to Content

Securities laws and regulations are routinely changed and reinterpreted by courts and regulators. Changes to rules and regulations could severely impact your case or dispute. KDV Law attorneys stay up-to-date on the latest changes and interpretations to the securities laws and regulations. Our firm has defended individuals, corporate officers, registered representatives, and member firms before securities regulators in a wide variety of enforcement matters. We represent clients at each critical juncture in a SEC enforcement proceeding, including from an initial inquiry, through a formal investigation, including responding to administrative subpoenas for documents and “on-the-record” testimony, through the “Wells” process, and during litigation, including during settlement negotiations, pre-trial hearings, administrative hearings, and federal trials.

Co-Managing Partner, Fort Lauderdale, FL Office,
Co-Chair Financial Services Practice Group
Fort Lauderdale, FL
Chair Emeritus of Professional Liability Practice Group
San Francisco, CA
Partner San Francisco, CA
Attorney Fort Lauderdale, FL
KDV General Counsel
Co-Chair, Data Privacy & Cybersecurity Practice Group
New York, NY , Hackensack, NJ
Partner Chicago, IL
Attorney Philadelphia, PA
Of Counsel. Vermont Office Chicago, IL
Attorney Fort Lauderdale, FL
Super Lawyers Martindale Hubbel AV Preeminent Martindale Hubbel AV Preeminent Law 360