PRACTICE

Securities Enforcement and Regulatory

Overview

The Securities Enforcement and Regulatory team represents financial services firms, public companies, accounting firms funds, fintech innovators, and senior executives in high‑stakes examinations, investigations, enforcement actions, administrative proceedings, and trials involving the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities regulators, national securities exchanges, and other self‑regulatory organizations (SROs). Led by alumni of the SEC and FINRA and practitioners with deep in‑house and industry experience, we bring a balanced perspective to every matter, from fast‑moving inquiries and sweeps to contested litigation.

Experience

Our securities enforcement attorneys, including former SEC and FINRA staff with real-world experience managing investigations and litigation on both sides, represent broker-dealers, investment advisers and fund complexes, public companies, individual officers and directors, accounting and auditing firms, fintech and digital asset companies, and other firms and individuals before the SEC and FINRA in formal and informal matters. We prepare witnesses for testimony, develop persuasive Wells submissions, negotiate resolutions, and try administrative and federal court proceedings when necessary. We also manage parallel interest from state securities regulators, national securities exchanges and other SROs, and, where relevant, banking regulators and the CFTC to resolve matters efficiently and protect core business operations.

Our matters include offering fraud, cryptocurrency fraud, accounting fraud, insider trading, market manipulation, audit failures, municipal securities, disclosure controls and procedures, beneficial ownership disclosure, broker-dealer regulations, and investment adviser regulations. We also conduct internal investigations, assess the effectiveness of compliance controls, and prepare clients for regulatory examinations and sweeps. In matters involving potential parallel criminal investigations, we coordinate with our White Collar Defense & Investigations practice group.