James Martignon counsels clients in the investment management, broker-dealer and financial services industries on regulatory enforcement proceedings and investigations, including proceedings by the U.S. Securities & Exchange Commission (SEC), FINRA, state securities regulators and other government entities. James assists clients with compliance and regulatory risk management and represents them in complex civil and securities litigation.
Regulatory and Compliance Counseling
James provides regulatory and compliance counseling on such matters as:
- Systemic risk management on product due diligence processes, sales and supervisory systems
- Dodd-Frank compliance for hedge funds
- Preparation of Form ADV brochures and annual updates
- Regulatory structuring of advisory programs such as wrap fee account program
- Structuring of client advisory agreements and disclosure documents
- Onboarding and discontinuance of advisory products for adviser platforms
- Custody matters with respect to the Investment Advisers Act
Financial Services Investigations, Enforcement and Litigation
James represents investment advisers, broker-dealers and financial services firms and professionals in regulatory proceedings and complex civil litigation, involving:
- Alleged Ponzi schemes and insurance fraud
- Selling away activities by registered representatives
- Sales, supervision and product due diligence of fixed-income products
- The Securities Act of 1933, California Blue Sky Laws and the Bankruptcy Code
- Charges of operating as an unregistered broker-dealer
- Failed advisory firms
