On the litigation side, CM Law’s attorneys handle class actions, derivative suits, regulatory enforcement proceedings, M&A-related claims, and internal investigations. Our attorneys align litigation strategies with each client’s institutional priorities to maximize recovery while minimizing operational disruption. Key litigation capabilities include: 

• Securities fraud class action prosecution and defense 

• Derivative litigation and investor disputes 

• SEC, FINRA, ERISA, and DOJ enforcement defense 

• Cross-border and international securities litigation 

• Internal investigations, governance advisory, and trial readiness 

• Mediation, arbitration, and alternative dispute resolution 

On the regulatory side, CM Law’s attorneys assist issuers, public companies, investment funds, broker-dealers, and executives in navigating complex regulatory frameworks—including the Securities Act, Exchange Act, Investment Advisers Act, Sarbanes-Oxley, Dodd-Frank, proxy disclosure, blue sky laws, digital asset rules, and listing standards. Key regulatory capabilities include: 

• Registration statements, private placements, and exempt offerings (Reg A, Rule 144A, Regulation S) 

• Ongoing SEC compliance (Forms 10-K, 10-Q, 8-K, proxy solicitation) 

• NASDAQ, NYSE, and blue sky listing requirements 

• Sarbanes-Oxley, Dodd-Frank, and Regulation FD compliance 

• Broker-dealer compliance manuals, AML policies, and supervisory systems 

• Investment adviser fiduciary-duty and conflict-disclosure frameworks 

• Digital asset, fintech, and cross-border regulatory strategy