Mr. Wasserman has more than two decades of experience representing clients in connection with complex government, regulatory, and internal investigations.

As Head of Enforcement at the New York Stock Exchange, Mr. Wasserman personally oversaw hundreds of investigations into potential violations of both NYSE rules and the federal securities laws.  In this role, he regularly coordinated with the SEC, FINRA, Nasdaq, and CBOE (among others), and has a deep understanding of the regulatory processes at each of these agencies.

In private practice, Mr. Wasserman regularly represented financial services clients (including banks, funds, broker-dealers, and their senior officers and directors) in complex investigations by the Department of Justice, SEC, New York Attorney’s General Office, FINRA and others.  He also has conducted and overseen internal investigations on behalf of banks, funds, law firms, corporations, and boards of directors.

Such investigations have included matters involving:

At August Way, we aim to represent clients in investigations effectively and efficiently, helping them achieve an appropriate resolution of the investigation as quickly and easily as possible under the circumstances.

Please contact August Way for a complimentary consultation to discuss whether the Firm is a good fit to represent you in connection with a potential regulatory investigation involving your institution.