We counsel and defend clients through all stages of securities enforcement proceedings. We represent clients in a broad cross-section of investigations by various governmental and regulatory bodies – including the Securities & Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the U.S. Department of Justice, Commodity Futures Trading Commission, state securities regulators across the U.S., state attorneys general, and other organizations.
Our clients include major financial institutions, senior corporate executives, boards of directors and their audit committees, associated persons in the financial services industry, accounting firms, investment advisers, investment companies, private equity and hedge funds, and public and private companies. We tailor our strategies to meet the unique needs of each client and enforcement action.
Clients trust us to provide skilled representation against allegations of wrongdoing brought by the SEC, FINRA, CFTC, Public Company Accounting Oversight Board (PCAOB), New York Stock Exchange (NYSE), Department of Justice, Texas Securities Board, state attorneys general and securities regulators, and self-regulatory organizations. Our team leverages decades of experience to develop informed and effective strategies in today’s regulatory environment.
Our attorneys have served in key government agencies and regulatory bodies, and bring their insight to bear in each representation. The team includes a former branch chief of the Division of Enforcement at the SEC, former enforcement attorneys, regulators and government attorneys, assistant United States Attorneys and former assistant attorneys general, as well as in-house counsel for public companies. This experience guides our strategies and provides us with unique insight into resolving cases quickly, discreetly, and effectively.
We are experienced in a wide range of issues, including broker sales practice violations, insider trading, accounting errors and irregularities, market manipulation, investment adviser valuation and disclosure issues, and a wide range of other securities fraud matters. We assist clients through every stage of an investigation, from informal inquiries to the Wells process. We also defend clients in litigation matters against the SEC and other governmental agencies.
Our team designs and conducts internal investigations for boards of directors and their committees, addressing issues involving whistleblowers, governmental investigations, regulatory proceedings, or private litigation. Our experience includes reviewing internal financial controls, employee whistleblower complaints, Foreign Corrupt Practices Act (FCPA) compliance, and more. We conduct our investigations efficiently and thoroughly, and when appropriate, counsel clients on the creation and implementation of compliance programs that strengthen internal controls and protect against future litigation and civil and criminal enforcement.
Our attorneys and practice have been identified as leaders in the field by publications such as the Legal 500, SuperLawyers, Securities Docket Enforcement Elite, Benchmark Litigation, and Chambers USA.
