Regulatory Investigations
Rich, Intelisano & Katz represents high level employees in the financial services industry in investigations by self regulatory organizations, including the SEC, the CFTC, FINRA and state regulatory authorities. We have represented traders, analysts, retail brokers, and other financial industry professionals. The Firm has obtained full exoneration for clients in some matters and has successfully negotiated settlements which permit employees to continue working in the securities industry.
Client Reviews
★★★★★
Daniel Katz and his firm are exceptionally knowledgeable about the constantly changing construction business and they have given my company insightful legal advice throughout the years. They have assisted with numerous construction negotiations, claims, and business matters with many satisfactory resolutions. Michael B.
★★★★★
Daniel Katz and his team have always been exemplary, always prepared, always responsive and extremely knowledgeable about construction issues. I cannot imagine better representation. Jim F.
★★★★★
RIK fought hard for me in my FINRA arbitration which resulted in an outstanding result. I will forever be grateful to them. Jeff B.
★★★★★
Ross and his team did a wonderful job representing me in my employment dispute. They were honest, intelligent and hard working. I recommend RIK to all of my colleagues in the financial industry. Steven F.
★★★★★
The theft of pension fund assets by a money manager prompted the Board of Trustee’s investigation into “how did this happen?” John Rich and the Rich, Intelisano & Katz team managed this complex securities litigation matter to fruitful results for our pension fund. Cecelia C., Executive Director