Richard D. Marshall focuses his practice on the representation of financial institutions and employees subjected to investigations by the Securities and Exchange Commission, Department of Justice, Financial Industry Regulatory Authority and state securities regulators. Rick also counsels broker-dealers, investment companies and investment advisers on regulatory issues, particularly relating to SEC and FINRA regulations. He also frequently counsels clients on compliance and risk management issues and the handling of inspections.
Rick provides extensive advice regarding possible impacts of the Dodd-Frank Wall Street Reform and Consumer Protection Act and related regulatory rulemakings. Additionally, he provides time-sensitive advice on securities trading, ownership reporting and other investment regulations to a broad range of clients.
Prior to entering private practice, Rick worked for several years for the SEC as both a branch chief in the Division of Enforcement in Washington, DC and as a senior associate regional administrator in New York, where his staff conducted inspections of investment companies and investment advisers, and instituted enforcement actions against those entities.
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