Swanzey Securities Lawyers

Caroline focuses her work on white collar and government investigations, securities enforcement and counseling, and regulatory compliance. Caroline has experience representing large insurance companies, broker-dealers and other financial institutions, public and private companies, and individuals in government investigations and proceedings before administrative, legislative, and self-regulatory agencies including the SEC and FINRA. Caroline also helps develop and update effective compliance and supervisory policies and procedures and has experience in drafting effective Regulation SHO, Conflicts of Interest, and Customer Due Diligence policies, among other compliance procedures. Caroline further works with CFIUS, the Corporate Transparency Act and anti-money laundering regulations, export-import controls and anti-boycott...

As a partner at Shaheen & Gordon, P.A., Brian focuses his practice on government investigations, white collar defense, civil litigation, and regulatory matters for individuals and corporations. His experience includes numerous high-profile trials and investigations, including first-degree murder trials, defense of multi-national corporations in securities and healthcare investigations, and other serious criminal and civil matters. Brian has successfully briefed and argued numerous cases before the New Hampshire Supreme Court and has taught Advanced Appellate Advocacy as an adjunct professor at the University of New Hampshire Law School, formerly known as Franklin Pierce Law Center. Previously, Brian served as a senior assistant attorney...