Business Hedge Fund & FINRA Litigation

Ruddy Gregory represents persons and entities that are involved in the SEC, CFTC, NFA, FINRA and self-regulatory organization inquiries, formal investigations, arbitrations and reparation actions. We represent clients involved in enforcement actions concerning securities disclosure issues, and other areas of investment related actions. Ruddy Gregory also represents corporate directors, officers and other individuals facing investigations and potential litigation.

Our litigation experience includes work in the following areas:

  • Assistance with contract and partnership disputes;
  • Assistance with CFTC reparations;
  • Assistance with SEC and CFTC enforcement proceedings;
  • Assistance in the administrative enforcement area, including the negotiation of supervisory agreements, cease and desist orders, and civil money penalties; and
  • Assistance with arbitrations before the FINRA, the NFA and other arbitral organizations.
1225 15th Street NW, Washington, DC 20005
44 Cook Street, Suite 640, Denver, CO 80206

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