Securities Enforcement

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We understand the language, rules, and processes of securities enforcement authorities—and have the insights and judgment to secure successful outcomes.

Overview

Our highly experienced securities enforcement defense team features several lawyers who held senior enforcement-related positions at the Securities and Exchange Commission, including a former associate director, deputy chief litigation counsel, three former branch chiefs, and a former senior counsel in the SEC's Enforcement Division. We leverage that background, as well as insights from decades of private-practice experience defending enforcement matters, in our representation of clients facing inquiries, investigations, and civil and criminal enforcement actions.

We regularly represent both individual executives and corporate entities in matters initiated by various government agencies, and other self-regulatory organizations. We defend clients before the SEC, the Department of Justice, the Public Company Accounting Oversight Board, FINRA, and other federal and state securities and financial regulators, as well as offices of state attorneys general and local district attorneys.

Internal investigations

Our lawyers have been retained by corporations and boards to conduct internal investigations into matters that may or already have become the subject of enforcement proceedings. We have also been retained by non-profit and public-sector entities requiring investigative assistance and guidance. We have conducted internal investigations covering a variety of topics, including financial fraud, recordkeeping, and regulatory compliance. Our lawyers demonstrate sensitivity and discretion regarding issues that may be encountered during internal investigations, which may implicate confidentiality concerns, personal privacy, and attorney-client privilege.

Cross-border enforcement

Our lawyers have represented clients in regulatory enforcement matters involving potential violations of the laws and regulations of both the U.S. and E.U. We are experienced in proceedings initiated by domestic and foreign enforcement authorities—including the SEC, Department of Justice, and non-U.S. financial regulators—independently, jointly, and as parallel proceedings.

Contact Us

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