The firm has substantial expertise in securities litigation and enforcement proceedings. We have represented numerous individuals and corporations either under investigation or charged with violations of federal and state securities laws and federal commodities laws. These matters often are highly sensitive and complex. In addition, the firm frequently is engaged to counsel officers and directors of public corporations concerning their legal obligations, including their duties under the Sarbanes-Oxley Act.
The firm regularly represents clients in investigations and administrative proceedings brought by the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Federal Reserve Bank, and self-regulatory organizations, including the New York Stock Exchange and the Financial Industry Regulatory Authority. The issues in these investigations range from insider trading to options backdating, stock manipulation, and improper sales practices, and from complex accounting questions to misrepresentations and omissions in sales materials.
We are also called upon by securities brokerage firms and other companies to provide advice in advance of, or at the early stages of, probes by federal and state regulators. In connection with such representations, we investigate the relevant facts and guide our clients through the regulators’ inquiries.
