Securities Enforcement & Regulatory

Our securities attorneys understand the intricate landscape of securities enforcement and the challenges businesses face in complying with the myriad of regulations. Our seasoned litigators possess extensive experience in representing clients in enforcement actions initiated by regulatory agencies such as the Securities and Exchange Commission (“SEC”) and other governmental bodies. We are well-versed in handling a wide range of enforcement matters, including fraud investigations, insider trading allegations, market manipulation claims, and securities fraud litigation. Our team combines its deep understanding of the securities industry with strategic thinking and vigorous advocacy to protect our clients' rights and interests throughout the enforcement process.

Navigating the complex web of securities regulations is essential for businesses to maintain their integrity and safeguard their operations. Our litigators provide comprehensive regulatory compliance services to help our clients meet their obligations and mitigate the risks associated with securities laws. Our attorneys are well-versed in the intricacies of federal and state regulations, such as, but not limited to, the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940. We work closely with our clients to develop effective compliance programs, conduct internal investigations, and ensure proper disclosure and reporting practices. With our proactive approach, we aim to help our clients stay ahead of regulatory changes and avoid potential pitfalls that could disrupt their business operations. But when regulatory matters and disputes arise, our litigators are fully equipped to deal with the dispute and work to mitigate client risk.