Day Pitney remains committed to providing quality legal counsel, while protecting our clients and employees, and transforming our communities into more just, equal and equitable spaces. For more information, please visit our COVID-19 Resource Center | Racial Justice and Equity Task Force.
Securities investigations and enforcement actions by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), U.S. Department of Justice, and other federal and state regulatory agencies continue unabated.
Lawyers on the White Collar Defense and Investigations team, often working with experienced colleagues in the firm's Corporate and Business Law group, have counseled numerous clients in connection with securities investigations and actions. We have represented companies and individuals in connection with all aspects of securities law enforcement, from litigation to complex investigations to preventive compliance. Some matters in this area include the following:
We have an established track record of convincing regulators to close investigations without taking action against our clients. We have persuaded SEC and SRO staff to reverse preliminary recommendations of enforcement action. We have assisted clients in reaching favorable settlements with regulators to avoid the risks of litigation and adverse publicity, and where settlement is not desirable, clients benefit from our considerable trial and appeals experience.
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This website may use cookies, pixel tags and other passive tracking technologies, including Google Analytics, to improve functionality and performance. For more information, see our Privacy Policy. By using our website, you are consenting to our use of these tracking technologies. You can alter the configuration of your browser to refuse to accept cookies, but if you do so, it is possible that some areas of web sites that use cookies will not function properly when you view them. To learn more about how to delete and manage cookies, refer to the support instructions for each browser (e.g., see AllAboutCookies.org). You may locate Google Analytics' currently available opt-outs for the web here.