Schottenstein Zox & Dunn

With nearly 50 years of collective litigation experience, we specialize in the defense of securities enforcement actions initiated by the U.S. Securities and Exchange Commission and state securities agencies alleging violations of federal and state securities statutes and rules.  We differentiate ourselves through our proven ability to work effectively with state and federal securities regulators, prosecutors and self-regulatory organizations.

Our securities regulatory experience involves the investigation, prosecution and defense of hundreds of securities-related matters. Our lawyers are privileged to have played a substantial role in most of the prominent securities cases in Ohio during the last 15 years.

SZD’s securities practitioners represent board members of publicly traded companies, small to mid-sized private companies and individuals engaged in the financial services industry, as well as those raising capital privately, in state and federal courts throughout the region.

Our services include:

• defense of claims/investigations initiated by federal and state securities, commodities regulators and self-regulatory organizations, including the FINRA
• counsel regarding potential criminal implications of an investigation initiated by federal or state securities regulators involving securities/commodities/other financial products
• state and federal securities enforcement administrative hearings
• FINRA enforcement actions and associated administrative hearings
• administrative license suspension and revocation proceedings
• representation of financial service industry professionals during regulatory audits
• negotiation with prosecutors and regulators to resolve investigations or litigation
• assist and advise Registered Broker Dealers and Investment Advisory firms with ongoing compliance issues 

Led by the former Director of Enforcement for the Ohio Division of Securities, Matthew Fornshell, who was also a prior alternate board member for the National White Collar Crime Center and member of the Enforcement Policy Committee for the North American Securities Administrators Association, SZD’s Securities Regulation team posses a solid understanding of how regulators approach investigations and enforcement actions, enabling us to formulate effective strategies that achieve favorable, financially-sound results for our clients.