Securities Enforcement and Regulation
Our Securities Enforcement and Regulation group advises public companies, asset management firms, boards of directors and audit committees, and individual senior executives, officers, and directors in all types of securities law enforcement matters. These representations often remain non-public due to successful resolution without any action against our clients. Our team includes a former Director of the SEC’s Atlanta Regional Office, a former Deputy Attorney General of the United States, five former Federal Prosecutors, and a former Federal Public Defender. We regularly and successfully appear before the SEC, U. S. Attorneys’ Offices, FINRA, and State Securities Commissions. We have the experience to guide clients through the investigatory process, the credibility to advocate effectively before the enforcement authorities, and the judgment to help clients achieve the best possible outcome in a variety of high stakes matters.
We also have a great deal of experience in representing audit committees and special board committees in internal investigations relating to alleged securities law violations and employee misconduct.