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Negotiated the successful resolution of a FINRA investigation of a broker-dealer's internal investigation of a Ponzi scheme where the victims lost approximately $380 million.

ClientA broker-dealer
Description
Represented a broker-dealer in a FINRA investigation of the firm’s internal investigation of a Ponzi scheme where the victims lost approximately $380 million. After an extensive investigation involving the testimony of more than a dozen witnesses, we negotiated a successful resolution, convincing the staff to drop numerous charges and to significantly reduce the assessed fine.

Our Story

Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Negotiated the successful resolution of a FINRA investigation of a broker-dealer's internal investigation of a Ponzi scheme where the victims lost approximately $380 million.
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