White Collar Defense, Government Investigations & Enforcement

Securities Violations

High-stakes securities violations demand the attention of sophisticated counsel experienced with civil and criminal proceedings, internal investigations, and SEC and other federal and state regulatory actions. The outcome of these cases can be vital to you and your company’s future.

As a firm that has tried and won securities cases, we will not hesitate to take a case to trial where it is necessary and in your best interest. We believe that our reputation as excellent trial attorneys helps to force settlements on terms that are very favorable to our clients.

Quick Facts

  • Significant securities litigation trial experience
  • National reputation as lead defense counsel in handling government investigations relating to allegations of financial misconduct, and regulatory enforcement proceedings
  • Successful track record resolving complex claims in parallel proceedings
  • Deep experience representing companies, directors and officers, special committees, investment advisors, funds, and broker-dealers with securities-related concerns
  • Attorneys who have served in government agencies, including:
    • DOJ
    • Securities and Exchange Commission (SEC)
    • UK Financial Services Authority
    • US Attorneys’ Offices
    • State Attorneys’ General Offices

Areas of Focus

  • Gifts and gratuities
  • Insider trading and short-swing profits
  • Internal investigations
  • Market timing
  • SEC investigations and enforcement litigation
  • Securities litigation 
  • Shareholder derivative actions

Rankings & Recognitions

  • Attorneys recognized by Chambers USA, Best Lawyers, and Super Lawyers and include the following:
    • Best Lawyers in America “Lawyer of the Year” for Criminal Defense / White Collar (2011)
    • “Top Gun” in Ethisphere Institute’s Attorneys Who Matter (2011)
    • ILO Client Choice Award winner for White Collar Crime (2011)
    • BTI Client Service All-Star (2011)

Representative Experience

  • Successfully represented a former employee of a pre-eminent financial services industry firm charged by the SEC with violations of the securities laws in connection with the firm's sale of funds invested in subprime securities. Our team tried the case for three weeks in March 2011 before the SEC’s Chief Administrative Law Judge, who ruled in favor of our client on all charges.
  • Represented global investment bank and a group of underwriters in connection with claims arising from the IPO and subsequent earnings restatement of the public company. We obtained an expeditious resolution of the matter that resulted in a full release of our client with no admission of liability and no payment.
  • Represented the CFO of a high-tech company for alleged unlawful backdating of stock options for hundreds of employees. Notwithstanding comments in the media by one of the nation’s most respected securities law professors that the case presented “the clearest instance of criminal scienter he had ever seen,” we persuaded the federal government not to bring a criminal action against our client, and then negotiated a settlement with the SEC of all claims, without any admission of guilt by the client.
  • Representing a high-level investment bank executive at the center of the bank’s conduct during the subprime crisis. We have led the executive’s interactions with Congress, the SEC, the Department of Justice, and the FCIC.

Clients We Serve 

  • Publicly traded companies
  • Companies looking to publicly list 
  • Corporate officers and directors
  • Issuers, auditors, and underwriters
  • Investment banks, mutual funds, broker-dealers, hedge funds
  • Investment advisors
  • Special committees