T. Peter R. Pound


T. Peter R. Pound focuses his practice on securities regulatory matters, litigation and arbitration, and internal investigations. Peter represents broker-dealers, financial services firms, and individuals in civil litigation matters and arbitration proceedings relating to securities issues, and in connection with investigations, examinations, and enforcement proceedings brought by the SEC, FINRA, or state regulators. He conducts internal investigations on behalf of management or independent directors or trustees. He also counsels clients on a wide variety of regulatory, compliance, and corporate governance issues.