SECURITIES ENFORCEMENT DEFENSE

Regulatory Investigations

The Securities Enforcement Defense Group represents clients in informal and formal investigations and defends enforcement actions brought by the SEC, the FINRA, the NYSE and other exchanges, as well as state agencies such as the California Department of Corporations and counterpart agencies overseas. The Group’s regulatory experience is invaluable to clients in an environment where the number of enforcement actions brought by securities regulatory authorities, and the severity of sanctions sought in such proceedings, are increasing. Our experience in defending securities enforcement actions encompasses a broad spectrum of subjects, including:

While many attorneys defend agency investigations in an adversarial manner, as they would any civil litigation matter, we know that this type of approach may be counter-productive in the regulatory context. We generally favor an initial approach of cooperation and negotiation with the investigating agency, but we also have the experience to know when a different approach is more appropriate. The goal in defending any investigation is to avoid the commencement, or minimize the scope, of formal enforcement proceedings. The Group is frequently successful in helping our clients avoid formal charges altogether. We also seek to minimize or avoid the collateral consequences of enforcement actions, such as the disclosure obligations of company insiders and market professionals as well as the risk of private claims for damages based on regulatory proceedings that may be brought by shareholders, investors, clients and others.

HIGHLIGHTS

Securities Litigation Roundtable with Jahan Raissi as published in California Lawyer Magazine more >>

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