Practice Areas
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Enforcement Defense and Government Investigations

Related Professionals
Representative Engagements

Regulatory enforcement actions and internal investigations

Our team includes lawyers who have held senior positions at the U.S. Securities and Exchange Commission (SEC), 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 counsel and defend individuals and entities in connection with inquiries, investigations, and civil and criminal enforcement actions initiated by various government regulatory agencies and self-regulatory organizations. We defend clients before the SEC, the Public Company Accounting Oversight Board, the Financial Industry Regulatory Authority, and other federal and state securities and financial regulators. Our lawyers have represented clients in regulatory enforcement matters involving potential violations of both U.S. and E.U. statutes or regulations conducted individually, and/or jointly, by the SEC, U.S. Department of Justice, and non-U.S. financial regulators. We are well versed in the language, regulations, rules, policies, and processes of these organizations and offer clients the experience, insights, and judgment needed to secure successful outcomes. 

Our lawyers have been retained by corporations, boards of directors, and board committees to conduct internal investigations and reviews. 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 the issues that may be encountered during internal investigations, such as confidentiality concerns, personnel privacy, and attorney-client privilege. 

Our lawyers have represented corporations and individuals under investigation for, charged with, or suspected of criminal law violations, or who may be witnesses in connection with such alleged criminal violations. Our lawyers have experience defending both domestic and international criminal investigations. We have represented clients before the Department of Justice, offices of state attorneys general, and local district attorney offices. 

Representative engagements

  • Representing a global bank senior executive in SEC investigation of supervision. 
  • Representing the President and CEO, and separate Finance Executive, of a private company in SEC investigation regarding sales of private placement securities to international investors.
  • Representing a broker-dealer and registered representative in FINRA investigation of Outside Business Activities related to purchases of private placement securities. 
  • Representing a broker-dealer in FINRA investigation concerning Large Options Position Reporting (LOPR). 
  • Represented leading national securities exchange in investigation by the SEC Division of Enforcement related to exchange order type functionality, which concluded with a formal closing letter from the Division.
  • Representing an investment services company regarding the Municipalities Continuing Disclosure Cooperation Initiative (MCDC).
  • Serving as defense counsel for a Swiss bank in connection with the Department of Justice Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks. 
  • Representing an individual criminally charged with insider trading. 
  • Representing a broker-dealer owner in FINRA investigation into overseas trading and related supervisory issues. 
  • Representing a senior trader of global bank in SEC enforcement action alleging parking of securities. 
  • Representing a global bank’s senior capital markets executive in FINRA enforcement action alleging failure to establish adequate supervisory procedures. 
  • Representing a broker-dealer in FINRA investigation into potential information barrier violations. 
  • Representing a private equity firm’s principal in a settled SEC enforcement matter alleging conflicts of interest and non-disclosure.
  • Representing a financial institution as lead counsel in trial of an SEC administrative proceeding. 
  • Representing a major broker-dealer in a FINRA investigation related to mutual fund sales practices and customer suitability.

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