Securities Enforcement & Litigation

We defend and counsel clients in complex government investigations, enforcement proceedings, and related litigation anywhere in the world.

Overview

Our attorneys offer enforcement and litigation services addressing every aspect of securities-related litigation. We have successfully defended businesses and their officers, directors, and professionals in a wide range of industries, including financial services, health care, information technology, oil and gas, manufacturing, retail, accounting, and auditing.

We defend clients before the U.S. Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Federal Trade Commission (FTC), and other federal and state securities and financial regulators. Our attorneys also represent clients in regulatory enforcement investigations and trials, including joint DOJ-SEC cases, cases involving the European Union (EU), and other international financial regulatory matters. We are well versed in the regulations, policies, and processes of these agencies and offer our clients the experience and judgment needed to secure successful outcomes in matters before them.

We also conduct internal investigations and evaluate possible claims and defenses for our clients. We regularly counsel clients to develop, implement, and administer internal compliance programs designed to prevent potential violations. We have helped dozens of clients improve or establish appropriate internal compliance programs to address clients’ specific risks and needs.

Our team includes former federal prosecutors, SEC enforcement attorneys, and experienced trial lawyers who have conducted numerous investigations, trials, and arbitrations throughout the United States and internationally, as well as former in-house attorneys and compliance specialists.

Additional Specialties

  • Broker-Dealer
  • Department of Justice
  • Securities & Exchange Commission

Experience

  • Represented former Chairman and CEO of a public healthcare company in a civil lawsuit brought by the SEC alleging the client disclosed material inside information to an outsider who then traded securities based on that information. SEC dismissed the case with prejudice after losing multiple pre-trial motions.
  • Represented the lead audit partner of a Big Four accounting firm in an SEC investigation into the audit of a large global banking firm’s accounting treatment of certain entities and instruments involving the Argentine financial crisis; no claims were filed against the client.
  • Represented the independent consultant for UBS AG in a DOJ Non-Prosecution Agreement and SEC Cease and Desist Order to ensure that UBS executed undertakings to discontinue providing prohibited services to U.S. taxpayers.
  • Represented the chairman of Royal Dutch Shell’s Committee of Managing Directors in joint investigations by the DOJ, SEC, and U.K. Financial Services Authority (FSA) and private securities class action litigation related to a significant restatement of Shell’s proved oil and gas reserves and the company’s settlement to securities fraud charges in the U.S. and market abuse in the U.K.; no charges were filed in any jurisdiction against the client, and the client was dismissed from the class action cases.
  • Represented the chief executive officer of a US-based oil drilling company in a joint DOJ and SEC FCPA investigation into payments made by the company in connection with its operations in Africa and South America.
  • Represented the chief compliance officer of the broker-dealer subsidiary of a major financial services firm in a FINRA investigation involving late trading and market timing allegations.
  • Defended lawyer in formal SEC investigation arising out of work on bond deals resulting in a consent order.
  • Represented shareholders in a breach of contract action involving an obligation to maintain an active shelf registration for their benefit. After obtaining summary judgment on liability, appealed the damages award through the Eleventh Circuit Court of Appeals and the Supreme Court of Delaware, resulting in the reversal and remand of the damages award to the District Court.
  • Represented a private investor in a 10b-5 claim alleging churning and lack of suitability in a two-week jury trial in the United States District Court for the Northern District of Georgia, which resulted in a jury verdict against two broker-dealers.
  • Represented an assistant general counsel of a regional broker-dealer in a FINRA investigation into sales practices involving variable annuities; no charges were brought against the client.
  • Represented attorneys in 10b-5/fraud action arising out of a Ponzi scheme in South Florida, which settled on favorable terms.
  • Represented executives of a broker-dealer in an SEC investigation regarding the potential misappropriation of client funds, with no charges or action resulting.
  • Defended a commodities brokerage firm and its agent in a jury trial in the United States District Court for the Northern District of Georgia against allegations of misleading a buyer in the exercise of a commodities hedge account.
  • Represented executives of a broker-dealer in an SEC investigation regarding the potential misappropriation of client funds, with no charges or actions brought.

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