Securities Enforcement Investigations
We regularly represent clients in securities enforcement investigations conducted by the SEC, DOJ, other federal agencies, PCAOB, self-regulatory organizations such as FINRA, state attorneys general, and other regulators. A number of our lawyers are former SEC attorneys, DOJ attorneys, assistant US attorneys, or attorneys from other regulatory bodies.
Our clients have included public companies and their subsidiaries, accounting firms, broker-dealers, investment banks, 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, FCPA violations, accounting errors or irregularities, inadequate internal controls, and violations of broker-dealer, investment adviser, and investment company regulations.
We also have represented numerous companies and individuals in responding to congressional subpoenas and document requests, as well as participating in informal and on-the-record congressional staff interviews and high-profile public hearings. Our lawyers include a former Senator, former congressional staff, and other former governmental attorneys (several of whom have themselves testified before Congress).
Chapter 29, NYSE: Corporate Governance Guide, White Page Ltd