Securities & Regulatory Enforcement

Regulatory enforcement and securities proceedings require lawyers like ours. With the in-depth knowledge to navigate and guide a client through the scrutiny and the experience to negotiate settlements that achieve favorable results.

The firm has substantial expertise in regulatory enforcement actions and securities litigation representing individuals and companies under investigation or charged in enforcement actions with violating the federal and state securities laws and the federal commodities laws. These matters often are highly sensitive and complex. 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, and self-regulatory organizations, including the Financial Industry Regulatory Authority. The issues in these proceedings range from insider trading to options backdating, stock manipulation, and improper sales practices, and from complex accounting questions to misrepresentations and omissions in sales materials.

We are also 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 by federal and state regulators. Where necessary, we have the skill to represent our clients in these matters at trial.