Kiran V. Somashekara

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Kiran represents financial services clients throughout the country in complex regulatory investigations and enforcement actions initiated by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities regulators, and in securities litigation and arbitration.

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On April 15, the New Jersey Bureau of Securities (the “Bureau”) issued a rule proposal to establish a uniform fiduciary duty standard applicable to investment advisers, brokers-dealers and their registered representatives and agents.  Specifically, the proposed rule (N.J.A.C. 13:47A-6.4), which could take effect as early as the end of the year, will require all investment professionals registered with the Bureau to provide investment advice, recommend investment strategies, open or transfer assets to any type of…