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 recent 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.