Overview
Registered investment advisers, fund managers, and broker-dealers operate under dense regulatory requirements administered by the SEC and FINRA. When violations are suspected (overbilling, undisclosed conflicts, fraudulent disclosures, or outright theft from client accounts), enforcement mechanisms are powerful and reputational stakes are immediate.
Alejandro Soto achieved a landmark precedent during his AUSA career: the first successful criminal prosecution in the Southern District of Florida of a registered investment adviser for a criminal violation of the Investment Advisers Act of 1940. That experience, understanding how the government constructs criminal liability for investment advisers, directly informs how he defends investment advisers today.
Our Approach
Investment adviser enforcement defense requires detailed reconstruction of client relationships, disclosure documents, fee arrangements, and investment decision-making processes. We engage securities industry experts early to evaluate government theories against applicable regulatory standards and identify where conduct was consistent with industry practice.
