The Securities Enforcement Defense Group represents public companies, boards, auditors, officers, directors, investment advisers, hedge funds, broker-dealers, other financial service professionals, investors and others in government investigations, regulatory matters, internal investigations, as well as in government and private litigation. The matters the group routinely handle range from Securities and Exchange Commission investigations to securities class actions.
Our attorneys practicing in the Securities Enforcement Defense Group are seasoned professionals with substantial experience in securities-related matters. The head of the Group is a former Securities and Exchange Commission enforcement attorney, providing invaluable insights and familiarity with agency practices as well as familiarity with all aspects of the capital markets. 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 Securities and Exchange Commission, State regulators, and FINRA. We also regularly represent clients involved in matters with the Department of Justice, State Attorneys General, and foreign regulators. We regularly conduct internal investigations for companies and boards, and also represent individuals in internal investigations. In court, we litigate matters against the government, securities class actions, investor claims, and all manner of litigation touching upon the capital markets. Our practice includes regulatory investigations and litigation, securities industry litigation, and securities counseling on behalf our clients.