Regulatory Enforcement

Regulatory Enforcement

Experienced counsel to navigate regulatory enforcement actions and parallel proceedings.

We advise individual and corporate clients in connection with regulatory enforcement actions by the SEC and other regulators, including the Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), and the Commodity Futures Trading Commission (CFTC).  We are well-positioned to serve as independent counsel to officers, directors, and employees of companies involved in significant regulatory enforcement actions.

We have achieved success for our clients before the SEC, including securing the Commission’s agreement not to issue Wells Notices to multiple clients in connection with a wide-ranging insider trading investigation.

Regulatory enforcement actions frequently involve parallel criminal investigations and civil proceedings.  Reputational considerations also often loom large.  We seek to provide our clients with overarching strategic guidance to help them simultaneously navigate regulatory actions, parallel proceedings, and related public relations issues.




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