GOVERNMENTAL AND REGULATORY SECURITIES ENFORCEMENT INVESTIGATIONS

We regularly represent clients in governmental and regulatory securities enforcement investigations, including those conducted by the US Securities and Exchange Commission (SEC), US Department of Justice (DOJ), other federal agencies, Congress, self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA), state attorneys general, and other regulators. A number of our attorneys are former members of the SEC staff, DOJ attorneys, assistant US attorneys, or staff of other regulatory bodies.

Our clients in securities enforcement investigations have included public companies and their subsidiaries, accounting firms, broker-dealers, investment banks and other financial institutions, investment advisers, hedge funds, private equity firms, mutual funds, and law firms, as well as directors, officers, partners, principals, and employees of such entities.

We represent these clients in investigations involving a wide range of issues, including allegations of financial reporting fraud, other fraudulent disclosures, insider trading, stock manipulation, Foreign Corrupt Practices Act (FCPA) violations, accounting errors or irregularities, inadequate internal controls, stock option administration issues, and violations of broker-dealer, investment adviser, and investment company regulations.