Securities

The firm represents financial professionals, broker-dealers, investment advisors, hedge fund managers, and corporate entities facing the full spectrum of securities-related matters, including investigations and enforcement actions by the U.S. Securities and Exchange Commission and civil matters. SEC matters frequently also are related to criminal prosecutions by the U.S. Department of Justice, which ties into the firm’s white-collar criminal practice.

The firm has handled numerous high-profile SEC matters, representing clients from the earliest stages of an inquiry through any resulting civil proceedings. We defend broker-dealers accused of insider trading or fraud, investment advisors facing allegations of inadequate or false disclosures, corporate entities charged with failing to supervise employees who allegedly falsified investment information, and foreign entities accused of improperly soliciting U.S. clients. The firm understands how to engage with the SEC at every stage, protecting clients from statements that could be used against them later while positioning them for the best possible outcome.

Beyond the SEC, the firm defends clients in FINRA arbitration and disciplinary proceedings, bringing the same depth of securities knowledge to these matters that we bring to federal court. The firm also understands that investigations by these regulators, as with the SEC, can have potential criminal and other civil implications, and we formulate a strategy sensitive to this multidimensional challenge from the start of a case.