Richard A. Levan & Associates, PC is a Philadelphia-based law firm dedicated to serving the legal and compliance needs of the financial services industry at the highest level possible.
OUR
CLIENTS
include some of the country's top Broker-Dealer and
Investment Advisory firms, as well as officers, directors
and employees of public companies, investment companies, private funds and accounting firms.
OUR
SERVICES
include Regulatory Investigations, Securities and Commercial Litigation, Corporate Investigations, Compliance Counseling, Training, and Accountant Liability Issues.
OUR
APPROACH
is Personal, Effective, Different. We provide solutions, not more problems.
- SEC Investigations & Enforcement Proceedings
- FINRA Investigations & Disciplinary Hearings
- Complex Commercial Litigation
- Customer-Initiated Securities Arbitration (FINRA, NYSE, AAA)
- Employment Disputes
- Insider Trading Cases
- Internal Investigations
- Advice to Boards of Directors (including Sarbanes-Oxley counseling)
- SEC Compliance Program
- SEC Examination Preparation
- Compliance Manual Updates
- On-Site Compliance Reviews & Mock Exams
- Strategic Planning and Review
- Hedge Fund Reporting
- Code of Ethics Training
- Anti-Money Laundering Programs
- Privacy Training Programs
- Regulatory Exam Strategies
- SEC Mock Inspections
| ACCOUNTANT LIABILITY ISSUES |
- Financial Fraud Investigations
- PCAOB Inspections & Enforcement Proceedings
- Accountants Malpractice Defense
- Preparation of Expert Reports
- Testimony in Court Cases & Arbitrations
- Strategic Assistance to Outside Counsel engaged in Securities-Related Matters
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Richard A. Levan & Associates, PC
Two Penn Center Plaza, Suite 1422
1500 John F. Kennedy Blvd
Philadelphia PA 19102
Telephone: 215.568.9840
Fax: 215.568.9843
E-Mail:
Richard A. Levan:
rlevan@rlevan.com
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