Securities & Regulatory Disputes

We defend companies and their representatives in all types of securities and regulatory disputes.  

Our attorneys have deep experience representing corporate defendants in the most complex and challenging securities matters. Our practice runs the gamut of securities law issues under the Securities Act of 1933, the Securities and Exchange Act of 1934, the Commodity Exchange Act, the Investment Companies Act, and state law. We also represent member firms, introducing brokers, and associated persons in regulatory and self-regulatory proceedings before the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), including enforcement actions, disciplinary matters, arbitrations, and reparations proceedings. Koning Zollar attorneys have represented clients in a variety of securities matters, including: