Securities & Futures Enforcement

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Overview

Our Securities and Futures Enforcement team members have extensive government experience and many have served in senior positions at the Securities and Exchange Commission (SEC) in the Division of Enforcement, including Chief of the Structured and New Products Unit, Deputy Chief of Staff in the Office of the Chairman, Assistant Chief Litigation Counsel, and Branch Chief. Our deep understanding of complex financial markets positions us to counsel clients through aggressive regulatory enforcement reviews and challenges. We have repeatedly been recognized for devising innovative legal strategies to resolve matters as quickly and cost-effectively as possible.

Our team regularly defends regulatory and enforcement proceedings involving the SEC, Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Public Company Accounting Oversight Board (PCAOB), various State Attorneys General, and self-regulatory organizations (SROs).

Our experience spans all of the major programmatic areas of financial market regulation, including:

  • Auditor matters
  • Broker-dealer misconduct
  • Complex trading practices, including proprietary futures and derivative products
  • Financial reporting, complex accounting and disclosure issues
  • Foreign Corrupt Practices Act (FCPA) matters
  • Insider trading and expert networks
  • Investment advisory fraud
  • LIBOR manipulation
  • Market manipulation, including spoofing and front running
  • Performance reporting and adviser advertising
  • Residential mortgage-backed securities (RMBS), swaps, auction rate securities (ARS), collateralized debt obligations (CDOs) and other complex instruments
  • Stock option grant practices and allegations of back dating
  • Subprime, commodity-backed mortgage and credit, and commodity default swap exposure
  • Whistleblower matters

We also routinely counsel clients regarding preventative measures, such as establishing effective compliance programs and strengthening internal controls.