SECURITIES ENFORCEMENT DEFENSE
The Securities Enforcement Defense Group represents public companies, investment advisers, broker-dealers, other financial service professionals, investors and company insiders in regulatory and civil investigations and proceedings, whether initiated by securities regulatory authorities or private parties. We are one of very few law firms in the Western United States with attorneys specializing in the defense of investigations and enforcement actions brought by securities regulatory authorities.
Our attorneys practicing in the Securities Enforcement Defense Group are seasoned professionals with substantial experience in securities-related matters. Two members of the Group are former Securities and Exchange Commission enforcement attorneys, providing invaluable insights and familiarity with agency practices and procedures. Our practice encompasses a broad spectrum of proceedings, and we boast an enviable record of superior results. On the regulatory side, we routinely handle investigations and defend enforcement actions initiated by agencies such as the SEC, the FINRA and the stock exchanges. On the civil side, we represent our investment adviser and broker-dealer clients in all manner of disputes, including investor claims and disputes involving employees, independent contractors and competitors. Our practice includes regulatory investigations and litigation, securities industry litigation and securities counseling on behalf our clients.