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Administrative & Disciplinary Proceedings

Our attorneys have successfully advised and represented both businesses and individuals in a variety of federal, state, and local administrative, regulatory, compliance, disciplinary, and licensing matters.

Actions by agencies, boards, commissions, and licensing authorities present challenges to individuals and businesses beyond the traditional lawsuit. With our superior trial, appellate, and counseling experience we can help clients navigate this environment when they find themselves in an agency's cross-hairs.

We provide expert representation to clients who come to us as issues arise, and also help our clients navigate an ever-changing landscape of rules and regulations, so they can stay ahead of potential issues down the road. We formulate creative strategies to effectively manage risks and keep your business running smoothly.

Our services include conducting reviews of account records, policies, procedures, forms, and all levels of operations for our clients to ensure full compliance with applicable laws and regulations. In the last several years of heightened regulation and regulatory oversight, we have assisted clients in responding to regulatory inquiries as well as state and federal examinations. Additionally, we can expertly maneuver through administrative actions and enforcement proceedings when necessary.

The ability to apply a litigator's eye and judgement to the complexity of day-to-day business activities can result in aggressive cost-saving solutions. We have developed, in collaboration with our clients, “best practice” programs in lieu of protracted litigation.


Whether you are facing an investigation by the Securities Exchange Commission, the Commodity Futures Exchange Commission, the Federal Trade Commission, the U.S. Department of Labor, the U.S. Department of Justice, or other federal, state, or local agencies, as well as self-governance bodies like FINRA, our attorneys are prepared to help you prepare to meet these challenges.

Our attorneys have experience in a variety of areas, including whistleblower, qui tam and false claims act cases, securities regulation, Medicaid and Medicare regulations, customs and trade enforcement, and consumer protection laws, and are prepared to help you respond to inquiries and complaints from government officials. Often times companies and individuals are called upon to respond to investigations without being told the allegations against them. A well prepared response with our assistance can help end these issues before they develop into a much bigger problem.


In today's climate, individuals in almost every industry can be subject to internal and external disciplinary proceedings that can jeopardize their hard work, their job, their reputation, and their future. Doctors, nurses, lawyers, teachers, professors, law enforcement officials, government employees, business professionals, stock brokers, accountants, and even students at every level can be subject to an agency or board's disciplinary authority. These proceedings present unique issues, and can often leave the person feeling like the deck is stacked against them. We are prepared to help you challenge these accusations, and help you effectively and decisively present your side of the story.

We have used our broad experience to help individuals protect themselves, whether it is students charged with misconduct under Title IX or local school rules, government employees charged with violating internal policies, or financial services professionals accused of violating their industry's rules and regulations. We are here to help you face these difficulties and keep your career and reputation.


You worked hard to earn your license. The threat of censure or admonishment, suspension, or even license revocation can erase all those efforts. These circumstances often require you to respond and testify before your licensing authority in a way that both refutes the allegations against you and demonstrates your commitment to the obligations required by your license. With our expertise working with witnesses for trial and other proceedings, we can help you prepare to meet these challenges and retain the license you worked so hard to achieve.


Our attorneys are available to discuss your legal needs – call or email us today to schedule a complimentary consultation. For urgent matters, we can be reached by phone any time at 212-566-6213.