
ABOUT
Ben Rosenblum’s practice focuses on U.S. securities regulatory and enforcement matters.
Ben advises multinational financial institutions, market centers, securities trading firms, investment managers, and public companies on a variety of securities regulatory issues, including broker-dealer, investment adviser, and investment company registration, regulation, and supervision issues. Ben also routinely advises clients on collateral consequences stemming from litigation and regulatory matters.
In addition to his regulatory practice, Ben is often called on to represent and advise financial institutions, public companies, individual executives, and employees facing regulatory investigations and in related litigation. Ben’s recent work includes matters before the SEC, CFTC, and FINRA.