Securities Enforcement and Litigation

Arnall Golden Gregory’s Securities Litigation team has two primary components: attorneys who litigate claims under the federal and state securities laws; and a Securities Enforcement team, which defends individuals and companies in enforcement and other related regulatory investigations. Team members have actively engaged in the litigation of numerous securities cases ranging from the defense of broker-dealers, professionals and investment banks to the representation of plaintiffs in asserting claims involving charges of fraud, churning and lack of suitability. AGG’s Securities Litigation team also conducts time-sensitive internal investigations of potential wrongdoing for our clients, and evaluates possible claims under federal and state securities laws. Our attorneys also regularly represent clients before the Securities and Exchange Commission and the Department of Justice, including various United States Attorneys’ Offices. Representative clients work in a wide variety of industries, including health care, technology, manufacturing and professional services.

We have represented clients in parallel civil and criminal insider trading investigations, broker-dealers in SEC enforcement investigations, and public companies and their officers in SEC matters. Our lawyers work closely with lawyers from our Securities and Corporate Governance group to provide expertise regarding parallel securities regulation, corporate governance, and securities trading issues. We understand that the best defense to these investigations is a strong compliance culture, and we have drafted and trained companies on compliance policies and corporate codes of conduct. We also conduct internal and independent investigations, directed by in-house counsel, audit committees, or other groups of independent directors.