Securities and Commodities Enforcement Investigations and Litigation

We regularly defend clients in securities and commodities enforcement investigations initiated by the SEC, CFTC, state and federal regulatory and law enforcement agencies, FINRA, and other self-regulatory organizations. Clients rely on us to help when under scrutiny for alleged impropriety involving, among other things:

  • Financial accounting and reporting
  • Brokerage firm trading, sales, clearing, and underwriting practices
  • FCPA violations
  • Insider trading
  • Market abuses, including manipulation
  • Stock options and options/futures trading
  • Securities offerings
  • Asset management
  • Structured and new products
  • Municipal securities
  • Failure to supervise
  • Anti-money laundering
  • Audit failures

We represent companies, firms, and individuals in all aspects of SEC and other regulatory investigations — from the first interaction with the regulator through litigation, if necessary. During the course of an investigation, we make every effort to help you avoid the receipt of a Wells Notice, notifying a party that the regulator has tentatively decided to bring disciplinary or civil charges. Should you receive a Wells Notice or similar notice from another regulator, we will work with you throughout the process to understand the nature of the charges, advocate on your behalf against the charges, and, if it is in your best interests, negotiate a settlement. In situations where the SEC or other regulator has decided to proceed, and where settlement is not an option, we will represent you aggressively in federal court, or before an ALJ or hearing panel.