Securities Enforcement & Litigation

We resolve disputes and litigation involving all aspects of federal and state securities laws. From FINRA arbitrations to proceedings in both federal and state courts, our attorneys represent individuals and corporations in a wide range of controversies focusing on the offer, purchase, sale and trading of securities, and on the conduct of those who advise and are involved in such matters.

Our attorneys have represented clients in a wide range of investigations initiated by the U.S. Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the United States Congress, state securities regulators and attorneys general, state insurance regulators, and other government agencies. Members of our team have guided major financial institutions, public and private companies, hedge funds, accounting firms, investment advisers, and individuals through the nuances of both Congressional hearings and the enforcement process, including resolution of market manipulation charges against the major money center banks.

Enforcement of the state and federal securities laws can affect public and private companies, financial institutions and financial advisory businesses, accounting firms, and other participants in the securities markets. We draw on our experience in government investigations to help clients navigate these inquires; evaluate legal, regulatory, and reputational risks; and engage strategically with relevant agencies. Our attorneys are effective and pragmatic and strive to reach resolution in a manner mindful of business objectives.  When possible, we have confidentially resolved investigations through engagement and cooperation. In other circumstances, resolution requires litigation.