• Conduct internal investigations on behalf of clients in response to inquiries from state and federal regulators, including: o Interviewing witnesses o Preparing witnesses for regulator interviews o Leading teams of attorneys in review of documents and fact-development o Preparing substantive, written responses to written regulator requests o Interfacing with regulators throughout pendency of investigation o Preparing presentations for regulators leading to closure of inquiries without enforcement actions, or favorable settlements • Advise and counsel start-up clients on preparation of written responses to FINRA inquiries, including gathering a broad range of information from various client employees and drafting responses. • Manage discovery, including writing responses to document requests and interrogatories, preparing for and defending depositions, and preparing large document productions. • Draft winning briefs in dispositive and non-dispositive motions, and appeals. • Supervise junior litigators, including providing feedback on work product and mentorship.