Rosenfeld & Kaplan has extensive experience defending brokerage and other financial firms, as well as publicly traded companies, and individuals against accusations of financial mismanagement or securities fraud.  We also have long history of representing individual brokers and traders charged with violations of securities laws and regulations both in the investigative stage conducted by the U.S. Securities and Exchange Commission (“SEC”) as well as self-regulatory authorities and in litigations brought by the SEC and other authorities in federal and state courts, as well as handling matters on behalf of both claimants and respondents in FINRA proceedings.