Governmental Investigations & Regulatory Enforcement

While we provide a broad spectrum of services to a diverse clientele, we have developed a market-leading reputation representing financial services firms in the area of regulatory inquiry and enforcement. Our familiarity with the securities laws and the regulators and law enforcement bodies with applicable oversight is matched only by our skill in dealing with them and defending our clients.

This expertise has never been more critical. Not only have law enforcement bodies and regulators grown more aggressive, their reach has been dramatically expanded with financial reforms such as the Dodd-Frank Act. New registration requirements subject investment firms and asset managers to a host of regulations with which they may be largely unfamiliar. With developments such as the new SEC whistleblower program, law enforcement bodies will have access to more insider information than ever before.

In this environment of heightened exposure, clients must be prepared to face early-stage inquiries, document requests, regulatory examinations, investigations, wells notices or disciplinary hearings, we have successfully guided hundreds of firms through these challenges. We regularly appear before, and have long standing relationships with, government bodies such as the SEC, CFTC, US Department of Justice, United States Attorney’s Offices and state Attorneys’ General. We are equally established in appearing before SROs such as FINRA, NFA and NASD.

Our track record in defending disciplinary proceedings at trial is unparalleled. We have achieved landmark results that have actually set new precedents for the scope and reach of government oversight.