Scarinci Hollenbeck, LLC
The Firm
201-896-4100 info@sh-law.comThe Financial Services and Regulatory Practice Group’s highly qualified attorneys have decades of experience advising on sophisticated transactions and guiding a diverse clientele through a technical and changing regulatory landscape.
The Firm
201-896-4100 info@sh-law.comThe Financial Services and Regulatory Practice Group’s highly qualified attorneys have decades of experience advising on sophisticated transactions and guiding a diverse clientele through a technical and changing regulatory landscape. Our pragmatic business judgment, strategic planning, and proven expertise in resolving complex problems have won outstanding results for our clients in state and federal civil litigations and in matters before all levels of the SEC, CFTC, FINRA and state and local administrative agencies.
We address each client’s unique business needs with a team approach that capitalizes on the knowledge and insights of our Firm’s seasoned practitioners in compliance, supervision, litigation, banking, cybersecurity and privacy, corporate governance and transactions, insurance, employment, tax and bankruptcy law. Our unique perspectives on regulatory problem-solving are shaped by a deep and diverse experience—our attorneys have previously served with the SEC, the New York or New Jersey Attorneys General Office, as internal counsel at some of the largest banks, broker-dealers and RIAs, or with private law firms that routinely advise multinational financial institutions.
Our ability to expertly handle transactions, compliance functions, and litigation matters allows us to develop extensive relationships with our clients, and these relationships enhance our ability to deliver tailored legal solutions that drive profitability and growth.
We handle our clients’ transactions efficiently. Our clients operate in a wide range of industries. Our diverse experience with their particular businesses and our extensive expertise in compliance and litigation matters have honed our ability to structure deals that protect our clients’ interests and meet or exceed regulatory requirements.
Our services include:
Our Firm regularly advises on issues involving the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Commodity Exchange Act, the Dodd-Frank Act, the JOBS Act, FINRA rules and regulations, and State rules and regulations affecting broker-dealers, investment advisers, insurance companies, hedge funds and their management and registered personnel. We offer clients risk-management gap assessments that compare present-state compliance with current regulatory requirements in order to reduce regulatory risks and limit potential compliance and financial exposures. We closely monitor state and federal legal and regulatory developments to ensure that our clients achieve their specific objectives while their interests are protected and provide cost-effective, practical advice on how to meet the requirements of new laws, rules and regulations.
Our services include:
We understand that almost all business transactions entail risks that can lead to litigation and that even the most sophisticated, well-intentioned businesses face allegations of regulatory violations. When these pitfalls materialize, our Litigation and Regulatory Practice attorneys work tirelessly with our client’s management and colleagues across our Firm’s numerous practice areas to develop the most effective strategies and defenses possible. Our use of Early Case Assessment (ECA) optimizes client results, and we are experienced with applying “project management” approaches to control legal and other costs in large cases. We have broad expertise in all phases of litigation proceedings, including document production and discovery, e-discovery management and protocols, motion practice, witness preparation and testimony, preparation of expert testimony and reports, settlement negotiations, seeking injunctive relief, trials and appeals.
Our services include:
Achieving our clients’ business objectives requires clear and open communication, and close coordination with clients also minimizes the anxiety intrinsic to litigation, investigations, regulatory disputes, and remediation of compliance issues. We partner closely with our clients to develop the strategic plans that will meet their goals efficiently and work tirelessly to implement those plans. Client results and satisfaction are our paramount concerns.
The firm`s core practices include:
The firm has several office locations includingLittle Falls, NJRed Bank, NJNew York, NYWashington, D.C.
Form instructions (Please feel free to contact us with any question.)
When your livelihood is on the line, having an SEC investigations attorney well-versed in securities law and the ever evolving regulatory landscape is paramount. At Scarinci Hollenbeck, LLC, our dedicated attorneys boast multiple decades of extensive experience handling cases tied to securities investigations.
We offer strategic legal counsel that acknowledges the distinct challenges faced by officers, directors, and companies embroiled in SEC, DOJ, or AG investigations.
Whether you’re dealing with SEC compliance, DOJ inquiries, AG investigations, or related matters, you can count on our unwavering legal support to help you navigate the process and achieve the best possible outcome.
Collaboratively, we work with you to grasp the unique intricacies of your circumstances, adapting our legal strategies to align with your goals.