Kiran advises broker-dealers, wealth management firms, and other financial institutions and their registered professionals nationwide in complex regulatory investigations and enforcement actions initiated by the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and other federal and state financial regulators. He also counsels firms and individuals on compliance with federal and state grand jury subpoenas, other law enforcement inquiries, and related litigation and arbitration matters.
Experience
Representative matters
Representative matters
Nationwide internal investigation into employee misconduct relating to Know Your Customer practices
Internal investigation into potential financial advisor misconduct relating to senior investor accounts, and managing related customer remediation
Representation of large broker-dealer in regulatory investigation into suitability of mutual funds and complex front-end load products
Nationwide internal investigation into employee misconduct relating to Know Your Customer practices
Internal investigation into potential financial advisor misconduct relating to senior investor accounts, and managing related customer remediation
Representation of large broker-dealer in regulatory investigation into suitability of mutual funds and complex front-end load products
Representation of broker-dealer in parallel FINRA and state investigations of supervision of former employees
Representation of broker-dealer and bank affiliate in regulatory investigation of securities-based lending practices
Representation of financial institution in a nationwide FINRA investigation into alleged cheating by registered representatives, resulting in no enforcement
Representation of registered firms and representatives in broker-dealer recruiting litigation
Recognitions
- Selected through peer review for inclusion on the New York Super Lawyers Rising Stars list for Securities Litigation and General Litigation, 2011-2017. The Super Lawyers list is issued by Thomson Reuters. A description of the selection methodology can be found at superlawyers.com. No aspect of this advertisement has been approved by the Supreme Court of New Jersey.
Credentials
Education
Education
- The George Washington University Law School, 2003, J.D., with honors
- Rutgers, The State University of New Jersey, 1999, B.A., with high honors
Professional admissions & qualifications
Professional admissions & qualifications
- New York
- New Jersey
Court admissions
Court admissions
- U.S. District Court - District of New Jersey
- U.S. District Court - Southern District of New York
Professional affiliations
Professional affiliations
- American Bar Association
- New Jersey State Bar Association
- New York State Bar Association
- Securities Industry and Financial Markets Association, Compliance & Legal Section