Securities & Regulatory Enforcement

The firm has substantial expertise in regulatory enforcement actions and government investigations domestically and abroad. With our reputation for trial expertise and deep knowledge of the investigatory and regulatory process, we provide expert guidance to companies and individuals under investigation or charged in enforcement actions. We have frequently persuaded prosecutors and regulators not to pursue charges against our clients, and when charges are brought, we often are able to obtain favorable results in court or negotiate advantageous settlements. In addition, the firm frequently is engaged to counsel officers and directors of public corporations concerning their legal obligations, including their duties under the Sarbanes-Oxley Act.

The firm regularly represents clients in investigations, administrative proceedings and enforcement actions by the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Federal Reserve Bank, self-regulatory organizations, including the Financial Industry Regulatory Authority and international authorities. The issues in these proceedings range from insider trading to options backdating, stock manipulation, improper sales practices, and FCPA violations, and from complex accounting questions to misrepresentations and omissions in sales materials. We have successfully represented clients at trial in federal and state courts, administrative courts, and before SRO tribunals.

We also are called upon by financial institutions and their affiliates; securities brokerage firms, investment managers, and traders; hedge funds and hedge fund managers; and public corporations and their officers and directors to provide advice in advance of, or at the early stages of, probes.