{"id":166,"date":"2021-08-10T22:24:35","date_gmt":"2021-08-10T22:24:35","guid":{"rendered":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/"},"modified":"2025-10-14T09:06:40","modified_gmt":"2025-10-14T14:06:40","slug":"securities-enforcement","status":"publish","type":"practice","link":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/","title":{"rendered":"Securities Enforcement &amp; Regulatory Counseling"},"content":{"rendered":"<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id166_199828-a6{margin-top:-80px;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, calc(64.3% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)))minmax(0, calc(35.7% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)));}.kb-row-layout-id166_199828-a6{--breakout-negative-margin-right:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);--breakout-negative-margin-left:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);}.kb-row-layout-id166_199828-a6{background-color:#003b5c;}.kb-row-layout-id166_199828-a6 > .kt-row-layout-overlay{opacity:0.30;}.kb-row-layout-id166_199828-a6{z-index:1;position:relative;}@media all and (min-width: 1025px){.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 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*:not(style)){order:22;}}@media all and (max-width: 1024px){.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}}@media all and (max-width: 1024px){.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}}@media all and (max-width: 1024px){.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}@media all and (min-width: 768px) and (max-width: 1024px){.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap:not(.kt-tab-layout-row) > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );}}@media all and (max-width: 767px){.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}.kb-row-layout-id166_199828-a6 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_199828-a6 alignfull kt-row-has-bg gradient-bottom-border service-hero-section wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-equal kt-tab-layout-row kt-mobile-layout-row kt-row-valign-top kt-inner-column-height-full kb-theme-content-width\">\n<style>.kadence-column166_c6ef84-17 > .kt-inside-inner-col{display:flex;}.kadence-column166_c6ef84-17 > .kt-inside-inner-col{padding-top:8rem;padding-bottom:2.5rem;}.kadence-column166_c6ef84-17 > .kt-inside-inner-col,.kadence-column166_c6ef84-17 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_c6ef84-17 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_c6ef84-17 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column166_c6ef84-17 > .kt-inside-inner-col > .aligncenter{width:100%;}.kt-row-column-wrap > .kadence-column166_c6ef84-17{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column166_c6ef84-17{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column166_c6ef84-17 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column166_c6ef84-17 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_c6ef84-17, .kadence-column166_c6ef84-17 h1, .kadence-column166_c6ef84-17 h2, .kadence-column166_c6ef84-17 h3, .kadence-column166_c6ef84-17 h4, .kadence-column166_c6ef84-17 h5, .kadence-column166_c6ef84-17 h6{color:#ffffff;}.kadence-column166_c6ef84-17{position:relative;}.kadence-column166_c6ef84-17, .kt-inside-inner-col > .kadence-column166_c6ef84-17:not(.specificity){margin-top:80px;}@media all and (max-width: 1024px){.kadence-column166_c6ef84-17 > .kt-inside-inner-col{padding-top:3.8rem;padding-right:2rem;padding-left:2rem;flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 1024px){.kt-row-column-wrap > .kadence-column166_c6ef84-17{align-self:flex-end;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column166_c6ef84-17{align-self:auto;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column166_c6ef84-17 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 767px){.kadence-column166_c6ef84-17 > .kt-inside-inner-col{padding-top:2.5rem;padding-right:1.1rem;padding-left:1.1rem;flex-direction:column;justify-content:flex-end;}.kt-row-column-wrap > .kadence-column166_c6ef84-17{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column166_c6ef84-17{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column166_c6ef84-17 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_c6ef84-17\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38, .wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38[data-kb-block=\"kb-adv-heading166_614a82-38\"]{margin-bottom:32px;font-size:3rem;line-height:1.2;font-weight:500;font-style:normal;font-family:Inter;}.wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38[data-kb-block=\"kb-adv-heading166_614a82-38\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38[data-kb-block=\"kb-adv-heading166_614a82-38\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38, .wp-block-kadence-advancedheading.kt-adv-heading166_614a82-38[data-kb-block=\"kb-adv-heading166_614a82-38\"]{font-size:2.5rem;}}<\/style>\n<h1 class=\"kt-adv-heading166_614a82-38 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_614a82-38\">Securities Enforcement &amp; Regulatory Counseling<\/h1>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_2bafaa-b1, .wp-block-kadence-advancedheading.kt-adv-heading166_2bafaa-b1[data-kb-block=\"kb-adv-heading166_2bafaa-b1\"]{font-size:1.25rem;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading166_2bafaa-b1 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_2bafaa-b1[data-kb-block=\"kb-adv-heading166_2bafaa-b1\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_2bafaa-b1 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_2bafaa-b1[data-kb-block=\"kb-adv-heading166_2bafaa-b1\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_2bafaa-b1 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_2bafaa-b1\">A recognized national leader in securities enforcement defense and broker-dealer and investment adviser regulatory counseling, McGuireWoods\u2019 SERC team manages securities investigations at every stage. From informal inquiries and routine exams to investigations, litigation and appeals, the team stands at the forefront of developing issues confronting the securities industry.<\/p>\n\n\n<style>.wp-block-kadence-advancedbtn.kt-btns166_e6c335-66, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns166_e6c335-66, .wp-block-kadence-advancedbtn.kb-btns166_e6c335-66, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns166_e6c335-66{margin-top:40px;}.wp-block-kadence-advancedbtn.kb-btns166_e6c335-66{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns166_e6c335-66 .kt-button{font-weight:normal;font-style:normal;}.kt-btns166_e6c335-66 .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns166_e6c335-66 .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns166_e6c335-66 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns166_e6c335-66 .kt-btn-wrap-0 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.kb-btn166_eeb67f-a6.kb-button:focus{color:#ffffff;background:rgba(0,0,0,0);border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn166_eeb67f-a6.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn166_eeb67f-a6.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn166_eeb67f-a6.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn166_eeb67f-a6.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn166_eeb67f-a6.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn166_eeb67f-a6.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn166_eeb67f-a6 kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" href=\"#\" role=\"button\"><span class=\"kt-btn-inner-text\">Read More<\/span><\/a><\/div>\n<\/div><\/div>\n\n\n<style>.kadence-column166_de17b3-da > .kt-inside-inner-col{display:flex;}.kadence-column166_de17b3-da > .kt-inside-inner-col,.kadence-column166_de17b3-da > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_de17b3-da > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_de17b3-da > .kt-inside-inner-col{flex-direction:column;align-items:flex-end;}.kadence-column166_de17b3-da > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column166_de17b3-da > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column166_de17b3-da > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_de17b3-da > .kt-inside-inner-col{background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/Services_Banner_Securities_Enforcement__Regulatory_Enforcement-new.jpg');background-size:cover;background-position:50% 50%;background-attachment:scroll;background-repeat:no-repeat;}.kadence-column166_de17b3-da > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_de17b3-da{position:relative;}.kadence-column166_de17b3-da, .kt-inside-inner-col > .kadence-column166_de17b3-da:not(.specificity){margin-right:0px;}@media all and (max-width: 1024px){.kadence-column166_de17b3-da > .kt-inside-inner-col{min-height:500px;flex-direction:column;justify-content:center;align-items:flex-end;}}@media all and (max-width: 767px){.kadence-column166_de17b3-da > .kt-inside-inner-col{min-height:300px;flex-direction:column;justify-content:center;align-items:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_de17b3-da hide-on-print\"><div class=\"kt-inside-inner-col\"><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id166_a9f828-14 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_a9f828-14 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_a9f828-14 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:43px;padding-right:0px;padding-bottom:60px;padding-left:30px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_a9f828-14 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_a9f828-14 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id166_a9f828-14 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_a9f828-14 alignfull gradient-bottom-border read-more-content wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column166_e7f522-95 > .kt-inside-inner-col,.kadence-column166_e7f522-95 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_e7f522-95 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_e7f522-95 > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_e7f522-95 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_e7f522-95 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_e7f522-95{position:relative;}@media all and (max-width: 1024px){.kadence-column166_e7f522-95 > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_e7f522-95 > .kt-inside-inner-col{padding-right:20px;padding-left:20px;flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_e7f522-95\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading166_e8c72e-58, .wp-block-kadence-advancedheading.kt-adv-heading166_e8c72e-58[data-kb-block=\"kb-adv-heading166_e8c72e-58\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_e8c72e-58 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_e8c72e-58[data-kb-block=\"kb-adv-heading166_e8c72e-58\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_e8c72e-58 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_e8c72e-58[data-kb-block=\"kb-adv-heading166_e8c72e-58\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_e8c72e-58 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_e8c72e-58\">The group is anchored by former U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority attorneys from enforcement, exams and trading and markets, as well as prominent former federal prosecutors.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_a38179-0d, .wp-block-kadence-advancedheading.kt-adv-heading166_a38179-0d[data-kb-block=\"kb-adv-heading166_a38179-0d\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_a38179-0d mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_a38179-0d[data-kb-block=\"kb-adv-heading166_a38179-0d\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_a38179-0d img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_a38179-0d[data-kb-block=\"kb-adv-heading166_a38179-0d\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_a38179-0d wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_a38179-0d\">The team\u2019s experience \u2014 spanning government, in-house and private practice \u2014 allows us to guide broker-dealers and investment advisers through a range of regulatory and compliance issues. Our lawyers represent corporate clients, as well as broker-dealers and investment advisers, in matters before the U.S. Department of Justice, SEC, FINRA and state securities regulators and attorneys general.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_2f8fab-87, .wp-block-kadence-advancedheading.kt-adv-heading166_2f8fab-87[data-kb-block=\"kb-adv-heading166_2f8fab-87\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_2f8fab-87 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_2f8fab-87[data-kb-block=\"kb-adv-heading166_2f8fab-87\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_2f8fab-87 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_2f8fab-87[data-kb-block=\"kb-adv-heading166_2f8fab-87\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_2f8fab-87 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_2f8fab-87\">The team has strong relationships with key industry trade associations and collaborates with them on industrywide issues impacting clients.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_6fd300-56, .wp-block-kadence-advancedheading.kt-adv-heading166_6fd300-56[data-kb-block=\"kb-adv-heading166_6fd300-56\"]{margin-bottom:20px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_6fd300-56 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_6fd300-56[data-kb-block=\"kb-adv-heading166_6fd300-56\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_6fd300-56 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_6fd300-56[data-kb-block=\"kb-adv-heading166_6fd300-56\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_6fd300-56 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_6fd300-56\"><strong>How We Help<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_2831fb-e3, .wp-block-kadence-advancedheading.kt-adv-heading166_2831fb-e3[data-kb-block=\"kb-adv-heading166_2831fb-e3\"]{margin-bottom:20px;font-size:1.2rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_2831fb-e3 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_2831fb-e3[data-kb-block=\"kb-adv-heading166_2831fb-e3\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_2831fb-e3 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_2831fb-e3[data-kb-block=\"kb-adv-heading166_2831fb-e3\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_2831fb-e3 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_2831fb-e3\"><strong>Securities Investigations<\/strong><\/p>\n\n\n<style>.wp-block-kadence-iconlist.kt-svg-icon-list-items166_9c54c0-b8:not(.this-stops-third-party-issues){margin-top:0px;margin-bottom:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_9c54c0-b8 ul.kt-svg-icon-list:not(.this-prevents-issues):not(.this-stops-third-party-issues):not(.tijsloc){margin-top:0px;margin-right:0px;margin-bottom:var(--global-kb-spacing-sm, 1.5rem);margin-left:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_9c54c0-b8 ul.kt-svg-icon-list{grid-row-gap:5px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_9c54c0-b8 .kb-svg-icon-wrap{font-size:6px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_9c54c0-b8 ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap .kt-svg-icon-list-single{margin-right:10px;}.kt-svg-icon-list-items166_9c54c0-b8 ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap, .kt-svg-icon-list-items166_9c54c0-b8 ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap a{color:#003b5c;color:#003b5c;}.kt-svg-icon-list-items166_9c54c0-b8 ul.kt-svg-icon-list .kt-svg-icon-list-level-0 .kt-svg-icon-list-single svg{font-size:20px;}<\/style>\n<div class=\"wp-block-kadence-iconlist kt-svg-icon-list-items kt-svg-icon-list-items166_9c54c0-b8 kt-svg-icon-list-columns-1 alignnone kt-list-icon-aligntop kt-tablet-svg-icon-list-columns-1\"><ul class=\"kt-svg-icon-list\"><style>.kt-svg-icon-list-item-166_bbca5d-f6 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_bbca5d-f6\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Accounting and financial fraud<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_491c30-41 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_491c30-41\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Foreign Corrupt Practices Act and UK Bribery Act<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_3ac7b4-67 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_3ac7b4-67\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Financial services<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_f4b709-8a .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_f4b709-8a\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Internal investigations<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_13d10e-a5 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_13d10e-a5\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Securities trading<\/span><\/li>\n<\/ul><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_83a2c5-0d, .wp-block-kadence-advancedheading.kt-adv-heading166_83a2c5-0d[data-kb-block=\"kb-adv-heading166_83a2c5-0d\"]{margin-bottom:20px;font-size:1.2rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_83a2c5-0d mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_83a2c5-0d[data-kb-block=\"kb-adv-heading166_83a2c5-0d\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_83a2c5-0d img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_83a2c5-0d[data-kb-block=\"kb-adv-heading166_83a2c5-0d\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_83a2c5-0d wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_83a2c5-0d\"><strong>Securities Litigation<\/strong><\/p>\n\n\n<style>.wp-block-kadence-iconlist.kt-svg-icon-list-items166_cdffea-0b:not(.this-stops-third-party-issues){margin-top:0px;margin-bottom:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_cdffea-0b ul.kt-svg-icon-list:not(.this-prevents-issues):not(.this-stops-third-party-issues):not(.tijsloc){margin-top:0px;margin-right:0px;margin-bottom:var(--global-kb-spacing-sm, 1.5rem);margin-left:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_cdffea-0b ul.kt-svg-icon-list{grid-row-gap:5px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_cdffea-0b .kb-svg-icon-wrap{font-size:6px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_cdffea-0b ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap .kt-svg-icon-list-single{margin-right:10px;}.kt-svg-icon-list-items166_cdffea-0b ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap, .kt-svg-icon-list-items166_cdffea-0b ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap a{color:#003b5c;color:#003b5c;}.kt-svg-icon-list-items166_cdffea-0b ul.kt-svg-icon-list .kt-svg-icon-list-level-0 .kt-svg-icon-list-single svg{font-size:20px;}<\/style>\n<div class=\"wp-block-kadence-iconlist kt-svg-icon-list-items kt-svg-icon-list-items166_cdffea-0b kt-svg-icon-list-columns-1 alignnone kt-list-icon-aligntop kt-tablet-svg-icon-list-columns-1\"><ul class=\"kt-svg-icon-list\"><style>.kt-svg-icon-list-item-166_94674a-5e .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_94674a-5e\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">In court and before SEC, DOJ, FINRA and arbitration panels<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_4890f1-5f .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_4890f1-5f\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Claims under Sections 11, 12 and 10(b)\/Rule 10b-5 of the securities laws and derivative actions<\/span><\/li>\n<\/ul><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_9b0f23-ba, .wp-block-kadence-advancedheading.kt-adv-heading166_9b0f23-ba[data-kb-block=\"kb-adv-heading166_9b0f23-ba\"]{margin-bottom:20px;font-size:1.2rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_9b0f23-ba mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_9b0f23-ba[data-kb-block=\"kb-adv-heading166_9b0f23-ba\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_9b0f23-ba img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_9b0f23-ba[data-kb-block=\"kb-adv-heading166_9b0f23-ba\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_9b0f23-ba wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_9b0f23-ba\"><strong>Regulatory Counseling<\/strong><\/p>\n\n\n<style>.wp-block-kadence-iconlist.kt-svg-icon-list-items166_4ad79b-6b:not(.this-stops-third-party-issues){margin-top:0px;margin-bottom:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_4ad79b-6b ul.kt-svg-icon-list:not(.this-prevents-issues):not(.this-stops-third-party-issues):not(.tijsloc){margin-top:0px;margin-right:0px;margin-bottom:var(--global-kb-spacing-sm, 1.5rem);margin-left:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_4ad79b-6b ul.kt-svg-icon-list{grid-row-gap:5px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_4ad79b-6b .kb-svg-icon-wrap{font-size:6px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_4ad79b-6b ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap .kt-svg-icon-list-single{margin-right:10px;}.kt-svg-icon-list-items166_4ad79b-6b ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap, .kt-svg-icon-list-items166_4ad79b-6b ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap a{color:#003b5c;color:#003b5c;}.kt-svg-icon-list-items166_4ad79b-6b ul.kt-svg-icon-list .kt-svg-icon-list-level-0 .kt-svg-icon-list-single svg{font-size:20px;}<\/style>\n<div class=\"wp-block-kadence-iconlist kt-svg-icon-list-items kt-svg-icon-list-items166_4ad79b-6b kt-svg-icon-list-columns-1 alignnone kt-list-icon-aligntop kt-tablet-svg-icon-list-columns-1\"><ul class=\"kt-svg-icon-list\"><style>.kt-svg-icon-list-item-166_e4489a-9f .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_e4489a-9f\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Compliance programs<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_c9f800-8b .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_c9f800-8b\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Examinations<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_48d709-75 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_48d709-75\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Firm formation and related transactions<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_70fe27-5c .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_70fe27-5c\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Regulatory advocacy<\/span><\/li>\n<\/ul><\/div>\n<\/div><\/div>\n\n\n<style>.kadence-column166_840286-92 > .kt-inside-inner-col{padding-top:40px;padding-right:40px;padding-bottom:20px;padding-left:40px;}.kadence-column166_840286-92 > .kt-inside-inner-col,.kadence-column166_840286-92 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_840286-92 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_840286-92 > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_840286-92 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_840286-92 > .kt-inside-inner-col{background-color:#ac3207;}.kadence-column166_840286-92 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_840286-92{position:relative;}@media all and (max-width: 1024px){.kadence-column166_840286-92 > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_840286-92 > .kt-inside-inner-col{padding-right:20px;padding-left:20px;flex-direction:column;justify-content:center;}.kadence-column166_840286-92, .kt-inside-inner-col > .kadence-column166_840286-92:not(.specificity){margin-right:20px;margin-left:20px;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_840286-92\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91, .wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91[data-kb-block=\"kb-adv-heading166_8a7887-91\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#ffffff;}.wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91[data-kb-block=\"kb-adv-heading166_8a7887-91\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91[data-kb-block=\"kb-adv-heading166_8a7887-91\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 1024px){.wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91, .wp-block-kadence-advancedheading.kt-adv-heading166_8a7887-91[data-kb-block=\"kb-adv-heading166_8a7887-91\"]{padding-left:16px;}}<\/style>\n<p class=\"kt-adv-heading166_8a7887-91 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_8a7887-91\"><strong>Representative Matters<\/strong><\/p>\n\n\n<style>.wp-block-kadence-iconlist.kt-svg-icon-list-items166_fe27cd-cc:not(.this-stops-third-party-issues){margin-top:0px;margin-bottom:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_fe27cd-cc ul.kt-svg-icon-list:not(.this-prevents-issues):not(.this-stops-third-party-issues):not(.tijsloc){margin-top:0px;margin-right:0px;margin-bottom:var(--global-kb-spacing-sm, 1.5rem);margin-left:0px;padding-left:var(--global-kb-spacing-sm, 1.5rem);}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_fe27cd-cc ul.kt-svg-icon-list{grid-row-gap:5px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_fe27cd-cc .kb-svg-icon-wrap{font-size:6px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items166_fe27cd-cc ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap .kt-svg-icon-list-single{margin-right:10px;}.kt-svg-icon-list-items166_fe27cd-cc ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap, .kt-svg-icon-list-items166_fe27cd-cc ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap a{color:#ffffff;font-size:20px;color:#ffffff;}.kt-svg-icon-list-items166_fe27cd-cc ul.kt-svg-icon-list .kt-svg-icon-list-level-0 .kt-svg-icon-list-single svg{font-size:20px;}<\/style>\n<div class=\"wp-block-kadence-iconlist kt-svg-icon-list-items kt-svg-icon-list-items166_fe27cd-cc kt-svg-icon-list-columns-1 alignnone kt-list-icon-aligntop kt-tablet-svg-icon-list-columns-1\"><ul class=\"kt-svg-icon-list\"><style>.kt-svg-icon-list-item-166_3413dd-9a .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_3413dd-9a\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Major financial services clients, including investment banks and fintechs, on counseling and regulatory enforcement investigations related to non-financial regulatory reporting obligations for U.S. broker-dealers and in compliance with requirements such as the Consolidated Audit Trail, electronic blue sheets, SEC Rules 605 and 606, and transaction reporting to FINRA trade facilities;<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_dda36f-b1 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_dda36f-b1\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Self-directed online trading platform in regulatory matters involving FINRA sweep letter regarding broker-dealers\u2019 use of social media influencers and SEC investigation into cryptocurrency asset trading through its platform;<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_1aa0d2-89 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_1aa0d2-89\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Global electronic trading firm and market maker in an investigation led by FINRA and U.S. equities and options exchanges regarding compliance with SEC Rule 15c3-5, the Market Access Rule; and<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-166_eacef9-1e .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-166_eacef9-1e\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Leading financial services company providing wealth management and investment solutions in connection with SEC and FINRA inquiries regarding the adequacy of supervision and anti-money laundering controls following termination of a registered representative for misconduct.<\/span><\/li>\n<\/ul><\/div>\n<\/div><\/div>\n\n\n<style>.kadence-column166_2981d9-0c > .kt-inside-inner-col{padding-top:20px;padding-right:40px;padding-bottom:0px;padding-left:40px;}.kadence-column166_2981d9-0c > .kt-inside-inner-col,.kadence-column166_2981d9-0c > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_2981d9-0c > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_2981d9-0c > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_2981d9-0c > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_2981d9-0c > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_2981d9-0c{position:relative;}@media all and (max-width: 1024px){.kadence-column166_2981d9-0c > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_2981d9-0c > .kt-inside-inner-col{padding-right:20px;padding-left:20px;flex-direction:column;justify-content:center;}.kadence-column166_2981d9-0c, .kt-inside-inner-col > .kadence-column166_2981d9-0c:not(.specificity){margin-right:20px;margin-left:20px;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_2981d9-0c\"><div class=\"kt-inside-inner-col\"><style>.kb-image166_74f0b1-88 .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image166_74f0b1-88\"><figure class=\"aligncenter size-full\"><a href=\"https:\/\/media.mcguirewoods.com\/publications\/Securities-Enforcement-and-Regulatory-Counseling.pdf\" class=\"kb-advanced-image-link\" target=\"_blank\" rel=\"noopener noreferrer\"><img loading=\"lazy\" decoding=\"async\" width=\"175\" height=\"227\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/securities-enforcement-brochure.png\" alt=\"Securities enforcement brochure cover\" class=\"kb-img wp-image-49764\"><\/a><\/figure><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66, .wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"]{text-align:center;font-size:var(--global-kb-font-size-sm, 0.9rem);font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"] img.kb-inline-image{width:150px;vertical-align:baseline;}.wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"] a, .kt-adv-heading-link166_29d184-66, .kt-adv-heading-link166_29d184-66 .kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"]{color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"] a, a.kb-advanced-heading-link.kt-adv-heading-link166_29d184-66{text-decoration:underline;}.wp-block-kadence-advancedheading.kt-adv-heading166_29d184-66[data-kb-block=\"kb-adv-heading166_29d184-66\"] a:hover, a.kb-advanced-heading-link.kt-adv-heading-link166_29d184-66:hover{text-decoration:underline;}<\/style>\n<p class=\"kt-adv-heading166_29d184-66 wp-block-kadence-advancedheading hls-underline\" data-kb-block=\"kb-adv-heading166_29d184-66\"><a href=\"https:\/\/media.mcguirewoods.com\/publications\/Securities-Enforcement-and-Regulatory-Counseling.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Download a PDF copy of our team brochure<\/a>.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id166_565fbe-5c{margin-top:13px;}.kb-row-layout-id166_565fbe-5c > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_565fbe-5c > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_565fbe-5c > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:80px;padding-right:0px;padding-bottom:80px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_565fbe-5c{background-color:#bbd5ec;background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/background-vector.svg');background-size:auto;background-position:0% 100%;background-attachment:scroll;background-repeat:no-repeat;}.kb-row-layout-id166_565fbe-5c > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_565fbe-5c > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id166_565fbe-5c > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_565fbe-5c alignfull kt-row-has-bg wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column166_7abd8c-a2 > .kt-inside-inner-col,.kadence-column166_7abd8c-a2 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_7abd8c-a2 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_7abd8c-a2 > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_7abd8c-a2 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_7abd8c-a2 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_7abd8c-a2{position:relative;}@media all and (max-width: 1024px){.kadence-column166_7abd8c-a2 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_7abd8c-a2 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_7abd8c-a2\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26, .wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26[data-kb-block=\"kb-adv-heading166_e7e4f0-26\"]{max-width:1150px;margin-right:auto;margin-left:auto;text-align:center;font-size:2rem;line-height:1.2;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26[data-kb-block=\"kb-adv-heading166_e7e4f0-26\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26[data-kb-block=\"kb-adv-heading166_e7e4f0-26\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 1024px){.wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26, .wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26[data-kb-block=\"kb-adv-heading166_e7e4f0-26\"]{font-size:2rem;}}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26, .wp-block-kadence-advancedheading.kt-adv-heading166_e7e4f0-26[data-kb-block=\"kb-adv-heading166_e7e4f0-26\"]{font-size:1.5rem;}}<\/style>\n<p class=\"kt-adv-heading166_e7e4f0-26 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_e7e4f0-26\">McGuireWoods\u2019 Securities Enforcement &amp; Regulatory Counseling Practice Group leverages decades of industry experience and regulatory knowledge to deliver strategic, practical and results-driven guidance that helps clients navigate government investigations, enforcement actions and regulatory challenges in the securities industry.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id166_362b4d-d1 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_362b4d-d1 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_362b4d-d1 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_362b4d-d1{border-left:60px solid #ac3207;}.kb-row-layout-id166_362b4d-d1 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_362b4d-d1 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id166_362b4d-d1{border-left:60px solid #ac3207;}}@media all and (max-width: 767px){.kb-row-layout-id166_362b4d-d1 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_362b4d-d1{border-left:30px solid #ac3207;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_362b4d-d1 alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column166_8c05a1-ac > .kt-inside-inner-col{padding-bottom:62px;}.kadence-column166_8c05a1-ac > .kt-inside-inner-col,.kadence-column166_8c05a1-ac > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_8c05a1-ac > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_8c05a1-ac > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_8c05a1-ac > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_8c05a1-ac > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_8c05a1-ac{position:relative;}@media all and (max-width: 1024px){.kadence-column166_8c05a1-ac > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_8c05a1-ac > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_8c05a1-ac animated-testimonial\"><div class=\"kt-inside-inner-col\"><style>.kb-advanced-slider-166_1734fa-43{--kb-adv-slider-gap:30px;}.kb-advanced-slider-166_1734fa-43 .splide__arrow{font-size:60px;}.kb-advanced-slider-166_1734fa-43 .kb-slider-size-fixed .kb-advanced-slide-inner-wrap{min-height:330px;}.kb-advanced-slider-166_1734fa-43 .kb-advanced-slide-inner-wrap{padding-top:63px;}.kb-advanced-slider-166_1734fa-43 .splide .splide__arrow, .kb-advanced-slider-166_1734fa-43 .kb-slider-pause-button{color:#ee690c;}.kb-advanced-slider-166_1734fa-43 .splide .splide__arrow:hover, .kb-advanced-slider-166_1734fa-43 .kb-slider-pause-button:hover{color:#ee690c;}.kb-advanced-slider-166_1734fa-43 .splide .splide__arrow:active, .kb-advanced-slider-166_1734fa-43 .kb-slider-pause-button:active{color:#ee690c;}.kb-advanced-slider-166_1734fa-43 .splide .splide__arrow, .kb-advanced-slider-166_1734fa-43 .kb-slider-pause-button{background-color:rgba(0,0,0,0);}.kb-advanced-slider-166_1734fa-43 .splide .splide__arrow:hover, .kb-advanced-slider-166_1734fa-43 .kb-slider-pause-button:hover{background-color:rgba(0,0,0,0);}.kb-advanced-slider-166_1734fa-43 .splide .splide__arrow:active, .kb-advanced-slider-166_1734fa-43 .kb-slider-pause-button:active{background-color:rgba(0,0,0,0);}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page{opacity:1;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page{background-color:#949494;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page:hover{background-color:#949494;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page.is-active{background-color:#ee690c;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page{border-color:#ffffff;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page:hover{border-color:#ffffff;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page.is-active{border-color:#ffffff;}.kb-advanced-slider-166_1734fa-43 .splide__pagination__page{border-width:2px;border-style:solid;}<\/style><div class=\"kb-advanced-slider kb-advanced-slider-166_1734fa-43 services-testimonial-slider wp-block-kadence-slider\"><div class=\"kb-advanced-slider-inner-contain kb-adv-slider-html-version-2\"><div class=\"kb-blocks-advanced-carousel kt-blocks-carousel kt-carousel-container-dotstyle-custom\"><div class=\"kb-blocks-advanced-slider-init kb-slider-loading kb-blocks-slider kt-carousel-arrowstyle-custom kt-carousel-dotstyle-custom kb-slider-size-fixed kb-slider-type-slider kb-slider-ratio-12-5 kb-slider-group-arrow kb-slider-arrow-position-center kb-slider-tab-ratio-inherit kb-slider-mobile-ratio-inherit splide kb-splide  kb-slider-version-2\" aria-label=\"Slider content\" data-slider-center-mode=\"true\" data-slider-type=\"slider\" data-loop-type=\"loop\" data-columns-xxl=\"3\" data-columns-xl=\"3\" data-columns-md=\"3\" data-columns-sm=\"2\" data-columns-xs=\"1\" data-columns-ss=\"1\" data-slider-anim-speed=\"400\" data-slider-scroll=\"1\" data-slider-fade=\"false\" data-slider-arrows=\"true\" data-slider-dots=\"true\" data-slider-hover-pause=\"false\" data-slider-auto=\"false\"  data-dragging=\"true\" data-slider-speed=\"7000\" data-slider-gap=\"30\" data-slider-gap-tablet=\"30\" data-slider-gap-mobile=\"30\" data-slider-gap-unit=\"px\"><div class=\"splide__track\"><ul class=\"splide__list\">\n\n<li class=\"wp-block-kadence-slide kb-advanced-slide-item kb-slide-166_7e7bc2-ef\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image166_1567b5-ad:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image166_1567b5-ad.kb-image-is-ratio-size, .kb-image166_1567b5-ad .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image166_1567b5-ad.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image166_1567b5-ad .kb-image-is-ratio-size{align-self:unset;}.kb-image166_1567b5-ad figure{max-width:86px;}.kb-image166_1567b5-ad .image-is-svg, .kb-image166_1567b5-ad .image-is-svg img{width:100%;}.kb-image166_1567b5-ad .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image166_1567b5-ad hide-on-print\"><figure class=\"aligncenter size-large image-is-svg\"><img decoding=\"async\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\" alt class=\"kb-img wp-image-90118\"><\/figure><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_772594-ca, .wp-block-kadence-advancedheading.kt-adv-heading166_772594-ca[data-kb-block=\"kb-adv-heading166_772594-ca\"]{max-width:768px;margin-right:auto;margin-left:auto;margin-bottom:32px;text-align:center;font-size:2.5rem;line-height:1.2;font-style:normal;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading166_772594-ca mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_772594-ca[data-kb-block=\"kb-adv-heading166_772594-ca\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_772594-ca img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_772594-ca[data-kb-block=\"kb-adv-heading166_772594-ca\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_772594-ca wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_772594-ca\"><strong>Nationwide ranking for financial services regulation: broker-dealer (compliance and enforcement).<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_a3c964-51, .wp-block-kadence-advancedheading.kt-adv-heading166_a3c964-51[data-kb-block=\"kb-adv-heading166_a3c964-51\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading166_a3c964-51 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_a3c964-51[data-kb-block=\"kb-adv-heading166_a3c964-51\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_a3c964-51 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_a3c964-51[data-kb-block=\"kb-adv-heading166_a3c964-51\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_a3c964-51 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_a3c964-51\">\u2013 Chambers USA<\/p>\n<\/div><\/div><\/div><\/li>\n\n\n\n<li class=\"wp-block-kadence-slide kb-advanced-slide-item kb-slide-166_a41e8e-6b\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image166_fad84c-97:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image166_fad84c-97.kb-image-is-ratio-size, .kb-image166_fad84c-97 .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image166_fad84c-97.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image166_fad84c-97 .kb-image-is-ratio-size{align-self:unset;}.kb-image166_fad84c-97 figure{max-width:86px;}.kb-image166_fad84c-97 .image-is-svg, .kb-image166_fad84c-97 .image-is-svg img{width:100%;}.kb-image166_fad84c-97 .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image166_fad84c-97 hide-on-print\"><figure class=\"aligncenter size-large image-is-svg\"><img decoding=\"async\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\" alt=\"testimonial quote ic\" class=\"kb-img wp-image-90118\"><\/figure><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_04b56d-da, .wp-block-kadence-advancedheading.kt-adv-heading166_04b56d-da[data-kb-block=\"kb-adv-heading166_04b56d-da\"]{max-width:768px;margin-right:auto;margin-left:auto;margin-bottom:32px;text-align:center;font-size:2.5rem;font-style:normal;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading166_04b56d-da mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_04b56d-da[data-kb-block=\"kb-adv-heading166_04b56d-da\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_04b56d-da img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_04b56d-da[data-kb-block=\"kb-adv-heading166_04b56d-da\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_04b56d-da wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_04b56d-da\"><strong>Recognized twice as a White Collar Practice Group of the Year.<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading166_40b263-d0, .wp-block-kadence-advancedheading.kt-adv-heading166_40b263-d0[data-kb-block=\"kb-adv-heading166_40b263-d0\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading166_40b263-d0 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_40b263-d0[data-kb-block=\"kb-adv-heading166_40b263-d0\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_40b263-d0 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_40b263-d0[data-kb-block=\"kb-adv-heading166_40b263-d0\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading166_40b263-d0 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_40b263-d0\">\u2013 Law360<\/p>\n<\/div><\/div><\/div><\/li>\n\n<\/ul><\/div><\/div><\/div><\/div><\/div><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id166_1e8494-12 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_1e8494-12 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_1e8494-12 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:64px;padding-bottom:64px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_1e8494-12 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_1e8494-12 > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id166_1e8494-12 > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_1e8494-12 alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column166_deed23-2b > .kt-inside-inner-col,.kadence-column166_deed23-2b > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_deed23-2b > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_deed23-2b > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_deed23-2b > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_deed23-2b > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_deed23-2b{position:relative;}@media all and (max-width: 1024px){.kadence-column166_deed23-2b > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_deed23-2b > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_deed23-2b\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading166_6fcddd-98, .wp-block-kadence-advancedheading.kt-adv-heading166_6fcddd-98[data-kb-block=\"kb-adv-heading166_6fcddd-98\"]{margin-bottom:50px;font-size:3rem;font-weight:bold;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading166_6fcddd-98 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading166_6fcddd-98[data-kb-block=\"kb-adv-heading166_6fcddd-98\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading166_6fcddd-98 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading166_6fcddd-98[data-kb-block=\"kb-adv-heading166_6fcddd-98\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h2 class=\"kt-adv-heading166_6fcddd-98 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading166_6fcddd-98\">Team Leaders<\/h2>\n\n\n<div style=\"padding-top:var(--wp--preset--spacing--10);padding-bottom:var(--wp--preset--spacing--20);\" class=\"wp-block-mgw-people-content-selector\" data-layout=\"featured-grid\"><div class=\"wp-block-mgw-people-content-selector__grid grid-posts grid-posts__2\">\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-1078 people type-people status-publish hentry practice_tax-wealth-management-compliance-enforcement practice_tax-trading-markets-compliance-enforcement practice_tax-investment-advisory-compliance-regulatory-counseling practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-private-equity-transactions practice_tax-securities-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\" aria-label=\"John V. Ayanian\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\">\n\t\t\t\tJohn V. Ayanian\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=1078&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download John V. Ayanian vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-857-2428\" aria-label=\"Call John V. Ayanian\">\n\t\t\t\t\t\tT: +1 202 857 2428\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t\tjayanian@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-589 people type-people status-publish hentry practice_tax-bsa-aml-counseling-defense practice_tax-securities-enforcement practice_tax-state-ag-investigations practice_tax-government-investigations-white-collar-litigation practice_tax-banking-regulation-enforcement practice_tax-anti-corruption practice_tax-public-company-advisory practice_tax-crisis-management-incident-response practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-trading-markets-compliance-enforcement practice_tax-wealth-management-compliance-enforcement practice_tax-fintech\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/elizabeth-j-hogan\/\" aria-label=\"Elizabeth J. Hogan\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"Elizabeth Hogan\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/elizabeth-j-hogan\/\">\n\t\t\t\tElizabeth J. Hogan\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"ehogan@mcguirewoods.com\" aria-label=\"Email Elizabeth J. Hogan\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=589&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Elizabeth J. Hogan vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-828-2818\" aria-label=\"Call Elizabeth J. Hogan\">\n\t\t\t\t\t\tT: +1 202 828 2818\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:ehogan@mcguirewoods.com\" aria-label=\"Email Elizabeth J. Hogan\">\n\t\t\t\t\t\tehogan@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n<\/div><\/div>\n\n<style>.wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a, .wp-block-kadence-advancedbtn.kb-btns166_b7b2e1-6a, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns166_b7b2e1-6a{margin-top:65px;}.wp-block-kadence-advancedbtn.kb-btns166_b7b2e1-6a{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns166_b7b2e1-6a .kt-button{font-weight:normal;font-style:normal;}.kt-btns166_b7b2e1-6a .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns166_b7b2e1-6a .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns166_b7b2e1-6a\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button{color:#003a5d;background:#ffffff;font-size:1.25rem;line-height:1.45;text-transform:uppercase;border-top-left-radius:50px;border-top-right-radius:50px;border-bottom-right-radius:50px;border-bottom-left-radius:50px;border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;padding-top:12px;padding-right:32px;padding-bottom:12px;padding-left:32px;}.wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button:focus{color:#ffffff;background:#003b5c;border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn166_838205-73.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn166_838205-73 kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" aria-label=\"View More Team Members\" href=\"https:\/\/www.mcguirewoods.com\/people\/?wp_posts_people%5BrefinementList%5D%5Blinked_services%5D%5B0%5D=Securities%20Enforcement%20%26%20Regulatory%20Counseling\"><span class=\"kt-btn-inner-text\">full team<\/span><\/a><\/div>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id166_b53d7c-ed > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_b53d7c-ed > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_b53d7c-ed > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:24px;padding-bottom:24px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id166_b53d7c-ed{background-color:#003b5c;}.kb-row-layout-id166_b53d7c-ed > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_b53d7c-ed > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id166_b53d7c-ed > .kt-row-column-wrap{padding-top:40px;padding-right:8px;padding-bottom:40px;padding-left:8px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_b53d7c-ed alignfull kt-row-has-bg hide-on-print wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column166_708e32-9b > .kt-inside-inner-col,.kadence-column166_708e32-9b > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_708e32-9b > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_708e32-9b > .kt-inside-inner-col{flex-direction:column;}.kadence-column166_708e32-9b > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_708e32-9b > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_708e32-9b{position:relative;}@media all and (max-width: 1024px){.kadence-column166_708e32-9b > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column166_708e32-9b > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_708e32-9b\"><div class=\"kt-inside-inner-col\"><style>.kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .wp-block-kadence-tab{border-top:0px solid transparent;border-right:0px solid transparent;border-bottom:0px solid transparent;border-left:0px solid transparent;padding-top:0px;padding-right:0px;padding-bottom:40px;padding-left:0px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li{margin-top:0px;margin-right:40px;margin-bottom:100px;margin-left:0px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li:last-child{margin-right:0px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{font-size:16px;line-height:1.4em;font-weight:regular;font-style:normal;border-top-width:0px;border-right-width:0px;border-bottom-width:3px;border-left-width:0px;border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;padding-top:8px;padding-right:0px;padding-bottom:8px;padding-left:0px;color:#ffffff;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{margin-top:0px;margin-right:40px;margin-bottom:100px;margin-left:0px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li .kt-tab-title:hover, .wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title:hover{border-color:#ee690c;color:#ffffff;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li.kt-tab-title-active .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title.kt-tab-title-active .kt-tab-title{border-color:#ee690c;color:#ffffff;background:rgba(255,255,255,0);}@media all and (max-width: 1024px){.kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .wp-block-kadence-tab{border-top:0px solid transparent;border-right:0px solid transparent;border-bottom:0px solid transparent;border-left:0px solid transparent;}}@media all and (max-width: 1024px){.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{font-size:px;}}@media all and (max-width: 767px){.kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .wp-block-kadence-tab{border-top:0px solid transparent;border-right:0px solid transparent;border-bottom:0px solid transparent;border-left:0px solid transparent;padding-top:60px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li{margin-right:8px;margin-bottom:8px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{margin-right:8px;margin-bottom:8px;}.wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-title-list li .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id166_a1112d-af > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{font-size:px;}}<\/style>\n<div class=\"wp-block-kadence-tabs alignnone service-related-tabs\"><div class=\"kt-tabs-wrap kt-tabs-id166_a1112d-af kt-tabs-has-2-tabs kt-active-tab-1 kt-tabs-layout-tabs kt-tabs-tablet-layout-inherit kt-tabs-mobile-layout-tabs kt-tab-alignment-center \"><ul class=\"kt-tabs-title-list\"><li id=\"tab-relatedpractices\" class=\"kt-title-item kt-title-item-1 kt-tabs-svg-show-always kt-tabs-icon-side-right kt-tab-title-active\"><a href=\"#tab-relatedpractices\" data-tab=\"1\" class=\"kt-tab-title kt-tab-title-1 \"><span class=\"kt-title-text\">Related Practices<\/span><\/a><\/li><li id=\"tab-relatedindustries\" class=\"kt-title-item kt-title-item-2 kt-tabs-svg-show-always kt-tabs-icon-side-right kt-tab-title-inactive\"><a href=\"#tab-relatedindustries\" data-tab=\"2\" class=\"kt-tab-title kt-tab-title-2 \"><span class=\"kt-title-text\">Related Industries<\/span><\/a><\/li><\/ul><div class=\"kt-tabs-content-wrap\">\n<div class=\"wp-block-kadence-tab kt-tab-inner-content kt-inner-tab-1 kt-inner-tab166_b7dda0-f3\"><div class=\"kt-tab-inner-content-inner\"><style>.kb-row-layout-id166_5caa65-3f > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_5caa65-3f > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_5caa65-3f > .kt-row-column-wrap{column-gap:27px;row-gap:var(--global-kb-gap-none, 0rem );padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:repeat(2, minmax(0, 1fr));}.kb-row-layout-id166_5caa65-3f > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_5caa65-3f > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id166_5caa65-3f > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_5caa65-3f alignnone wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-equal kt-tab-layout-row kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column166_445d09-83 > .kt-inside-inner-col{display:flex;}.kadence-column166_445d09-83 > .kt-inside-inner-col,.kadence-column166_445d09-83 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_445d09-83 > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_445d09-83 > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column166_445d09-83 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column166_445d09-83 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column166_445d09-83 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_445d09-83 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_445d09-83{position:relative;}@media all and (max-width: 1024px){.kadence-column166_445d09-83 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column166_445d09-83 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_445d09-83\"><div class=\"kt-inside-inner-col\">\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/broker-dealer-compliance-regulatory-counseling\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Broker-Dealer Compliance &amp; Regulatory Counseling<\/h5><\/a><\/article>\n\n\n\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/crypto-counseling-enforcement\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Crypto Counseling &amp; Enforcement<\/h5><\/a><\/article>\n\n\n\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/investment-advisory-compliance-regulatory-counseling\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Investment Advisory Compliance &amp; Regulatory Counseling<\/h5><\/a><\/article>\n<\/div><\/div>\n\n\n<style>.kadence-column166_23cd9f-02 > .kt-inside-inner-col{display:flex;}.kadence-column166_23cd9f-02 > .kt-inside-inner-col,.kadence-column166_23cd9f-02 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_23cd9f-02 > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_23cd9f-02 > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column166_23cd9f-02 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column166_23cd9f-02 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column166_23cd9f-02 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_23cd9f-02 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_23cd9f-02{position:relative;}@media all and (max-width: 1024px){.kadence-column166_23cd9f-02 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column166_23cd9f-02 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_23cd9f-02\"><div class=\"kt-inside-inner-col\">\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/trading-markets-compliance-enforcement\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Trading &amp; Markets Compliance and Enforcement<\/h5><\/a><\/article>\n\n\n\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Wealth Management Compliance &amp; Enforcement<\/h5><\/a><\/article>\n<\/div><\/div>\n\n<\/div><\/div><\/div><\/div>\n\n\n\n<div class=\"wp-block-kadence-tab kt-tab-inner-content kt-inner-tab-2 kt-inner-tab166_70570a-fc\"><div class=\"kt-tab-inner-content-inner\"><style>.kb-row-layout-id166_635e01-17 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id166_635e01-17 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id166_635e01-17 > .kt-row-column-wrap{column-gap:27px;row-gap:var(--global-kb-gap-none, 0rem );padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:repeat(2, minmax(0, 1fr));}.kb-row-layout-id166_635e01-17 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id166_635e01-17 > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id166_635e01-17 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id166_635e01-17 alignnone wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-equal kt-tab-layout-row kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column166_51e0ac-cb > .kt-inside-inner-col{display:flex;}.kadence-column166_51e0ac-cb > .kt-inside-inner-col,.kadence-column166_51e0ac-cb > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_51e0ac-cb > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_51e0ac-cb > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column166_51e0ac-cb > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column166_51e0ac-cb > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column166_51e0ac-cb > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_51e0ac-cb > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_51e0ac-cb{position:relative;}@media all and (max-width: 1024px){.kadence-column166_51e0ac-cb > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column166_51e0ac-cb > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_51e0ac-cb\"><div class=\"kt-inside-inner-col\">\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/industries\/financial-institutions\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Financial Institutions<\/h5><\/a><\/article>\n<\/div><\/div>\n\n\n<style>.kadence-column166_84d4ce-b0 > .kt-inside-inner-col{display:flex;}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col,.kadence-column166_84d4ce-b0 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column166_84d4ce-b0 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column166_84d4ce-b0{position:relative;}@media all and (max-width: 1024px){.kadence-column166_84d4ce-b0 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column166_84d4ce-b0 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column166_84d4ce-b0\"><div class=\"kt-inside-inner-col\"><\/div><\/div>\n\n<\/div><\/div><\/div><\/div>\n<\/div><\/div><\/div>\n<\/div><\/div>\n\n<\/div><\/div>\n\n\n<p><\/p>\n","protected":false},"excerpt":{"rendered":"<p>McGuireWoods is a national leader in securities enforcement defense and broker-dealer and investment adviser regulatory counseling. 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