Securities Enforcement & Litigation

Foley's Securities Enforcement & Litigation attorneys counsel clients targeted for securities, commodities, and derivatives litigation, arbitration, or investigation by state or federal regulatory and law enforcement agencies.

When faced with securities enforcement and litigation matters, you need experience on your side. That is why we count former securities regulators with the SEC, FINRA, the Chicago Stock Exchange, the Chicago Board Options Exchange, and securities fraud teams from several U.S. Attorneys’ offices as members of our Securities Enforcement & Litigation Practice. They have a thorough understanding of these complex and high-stakes issues and can provide the counsel you need to help you reach your best possible outcome.

We represent clients in a wide range of industries — from financial services, retail, energy, and manufacturing to professional services, high-tech, and transportation — in the areas listed below.

Representative Matters

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Represented the former CEO of a bank in a DOJ investigation and in the only case brought by the SEC in Texas arising from the financial crisis of 2008; No criminal charges filed and enforcement action resolved favorably
Represented a law firm and its principals in an SEC investigation and alleged disclosure violations involving a publicly held energy company
Representation of venture capital entities, as significant portfolio company stockholders, against claims brought under the Securities Act of 1933, based on disclosures made in prospectus and related documents issued in connection with public offering of stock, in parallel proceedings in the U.S. District Court for the District of Colorado and the San Mateo County, California Superior Court.

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