With diverse experience in the US and abroad, Arnold & Porter LLP offers top-tier legal services to clients in the securities industry. We regularly counsel issuers, underwriters, acquirers, targets, financial institutions, accounting firms, consultants, borrowers, governments, governmental entities, private equity and venture capital firms, and investment funds, as well as directors, officers, partners, principals, and employees of such entities. Because complex client matters often require interdisciplinary representation, attorneys from across our firm lend their experience, including those from our corporate and securities, securities enforcement and litigation, bankruptcy and corporate restructuring, real estate, and tax practices, among others.
Our corporate and securities attorneys work with clients to achieve their business goals by handling routine transactions as well as high-profile, and often intricate, novel securities matters. We also assist in the development, drafting, and implementation of internal corporate compliance programs, including those based on the standards established in the US Federal Sentencing Guidelines, codes of conduct, various substantive law practice guides, training programs, and charters. In addition, we help clients develop Regulation FD and communications policies and often advise on sensitive disclosure matters.
Our securities enforcement and litigation attorneys have decades of experience and include former members of the Securities and Exchange Commission staff, senior officials in the US Department of Justice and Assistant US Attorneys, and other lawyers who have litigated precedent-setting securities matters. They represent securities clients in a wide variety of proceedings, including investigations by the SEC and self-regulatory organizations (including NASD and NYSE, now FINRA); class action securities litigation, shareholder derivative litigation, and other civil and criminal litigation involving allegations of fraud, accounting irregularities, improper disclosure, misrepresentations and omissions, breach of fiduciary duty, recklessness, negligence, or mismanagement; criminal investigations; congressional investigations; internal investigations; and proceedings before professional licensing and regulatory authorities.