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. In every matter, we adapt our strategies to reflect the unique needs of each client’s industry and the type of enforcement action at hand.
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, state attorneys general and securities regulators, and self-regulatory bodies. Our team is attuned to today’s complex regulatory environment, and we leverage decades of experience to develop informed and effective strategies for clients.
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.
Members of our team have represented clients in securities regulatory matters involving 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 advocate for and defend clients through every stage of an investigation – from the informal inquiry, through the investigatory process, and (where applicable) the Wells process.
We also design and conduct internal investigations for boards of directors and their committees in need of a confidential, objective assessment of certain business activities or practices, whether they arise from whistleblowers, governmental investigations, regulatory proceedings, or private litigation. Our experience includes reviews of internal financial controls and procedures, employee whistleblower complaints, Foreign Corrupt Practices Act (FCPA) reviews, exchange traded funds, structured products, price manipulation, and unlawful conduct. We conduct our investigations efficiently and thoroughly, and when appropriate, counsel clients on the formation and implementation of compliance programs that strengthen internal controls and protect against future litigation and civil and criminal enforcement.
In addition to our expansive experience and record of success on behalf of clients, our attorneys and practice have been identified as leaders in the field by publications such as the Legal 500, SuperLawyers, Benchmark Litigation, and Chambers USA.
Articles + Publications
03.21.24
AI in Finance: Balancing Innovation and Regulatory Compliance
Articles + Publications
03.18.24
PCAOB's NOCLAR Proposal in the Hot Seat
Firm News
03.05.24
Troutman Pepper Recognized by JD Supra in 2024 Readers Choice Awards
Articles + Publications
02.28.24
2023 Year-In-Review: Key Enforcement Initiatives and Cases in Crypto, Cyber, SPACs, Whistleblowers, and the Future of Administrative Law Proceedings
Articles + Publications
02.26.24
SEC Continues to Regulate Cryptocurrency Through Record-High Enforcement Efforts
Press Coverage
01.17.24
SCOTUS Weighs Disclosure Standard for Material Omissions