Edward G. Rosenblatt
Professional Bio
Ed practices in the areas of government investigations and white collar litigation and he is a former co-chair of the Broker-Dealers & Investment Advisers Industry Team. His practice focuses on government and regulatory enforcement, internal investigations, securities regulation and compliance matters. He has represented individuals and corporations, including financial institutions, broker-dealers and investment advisers, before the DOJ, OCC, CFPB, SEC, FINRA, CFTC, FTC, state attorneys general and other federal and state agencies.
Proposed New Legislation Would Extend CFPB Oversight Over SCRA
Subject to Inquiry ·
FINRA Focuses on Due Diligence of Private Placements
Subject to Inquiry ·
Uniform Fiduciary Standard for Brokers Put on Hold
Subject to Inquiry ·
Obligations of FINRA Members Under New Outside Business Activities Rule
Subject to Inquiry ·