Our attorneys offer enforcement and litigation services that address all aspects of securities-related litigation. We’ve successfully defended businesses and their officers, directors, and professionals in a wide variety of industries, including financial services, health care, information technology, oil and gas, manufacturing, retail, accounting and auditing.
We have defended clients before the U.S. Department of Justice (DOJ), U.S. Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), and other federal and state securities and financial regulators. Our attorneys have also represented clients in regulatory enforcement investigations and trials, including in joint DOJ-SEC cases, and E.U. or other international financial regulatory matters. We are well versed in the regulations, policies, and processes of these agencies and offer our clients the experience and judgment needed to secure successful outcomes in matters before them.
We also conduct internal investigations and evaluate possible claims and defenses for our clients. We regularly counsel clients to develop, implement, and administer internal compliance programs designed to prevent potential violations and have helped dozens of clients improve or establish appropriate internal compliance programs to address clients’ specific risks and needs.
Our team includes former federal prosecutors, SEC enforcement attorneys, and seasoned trial lawyers who have conducted dozens of investigations, trials, and arbitrations all over the United States and internationally.