We routinely represent individuals and entities in connection with a wide range of SEC investigations and proceedings. We draw upon the experience of attorneys in our Securities Litigation, White Collar Defense, Internal Investigations and Compliance and Financial Services Litigation practices to ensure that our client service team has deep knowledge of the industry and regulatory framework within which our clients operate.
Our national enforcement practice includes a number of former SEC and Department of Justice attorneys who are known and well-respected in the regulatory community. We represent companies and individuals in SEC and other governmental and regulatory investigations and proceedings. Our clients include Fortune 500 public companies, small private companies, broker-dealers, investment advisers, hedge funds, accounting and professional services firms, and individual officers and directors of these organizations. Our experience is extensive and encompasses virtually every recent high-profile SEC enforcement initiative, including the subprime credit crisis, hedge fund short selling activities, stock options backdating, executive compensation, mismarking portfolio assets, insider trading, Foreign Corrupt Practices Act (FCPA) and Regulation SHO compliance, and other financial reporting and disclosure “hot button” issues. Our attorneys frequently represent clients in Department of Justice, state Attorneys General, FINRA and other self-regulatory organization inquiries, investigations and proceedings, and have successfully defended many parallel civil and criminal investigations. We have also been called upon to lead a number of high-profile internal investigations on behalf of public company boards of directors and audit committees.
Coordinated, Solution-Oriented Approach
We have a proven track record of achieving favorable results in SEC enforcement matters that is highly valued by our clients. Our attorneys develop thoughtful defense strategies based on the particular facts and circumstances of each case. Our approach may involve communicating with the SEC staff early in the investigative process to obtain a quick resolution of an inquiry or, if required, zealous and effective representation during the Wells process or in subsequent litigation. We appreciate the significant adverse consequences of protracted regulatory inquiries, enforcement investigations and related matters. The cost and reputational risk associated with these matters can be severe, even in cases in which no enforcement action is ultimately taken. Our particular knowledge of the SEC enforcement program and credibility with the SEC staff are key comparative advantages to achieving a desired result. We also recognize that these inquiries do not unfold in a vacuum, and are capable of providing real-time, practical advice to clients with respect to myriad disclosure, governance, employment and other issues that may arise during the course of an investigation.
Commitment to Efficiency
We understand that cost efficiency is a critical aspect of every engagement and that it has a direct and substantial impact on the level of client satisfaction. Our attorneys are particularly attuned to unique nuances in SEC matters, and we distinguish ourselves in these cases in our ability to develop effective and cost-efficient defense strategies. Our considerable experience in managing these cases and establishing effective partnerships with in-house counsel translates directly into meaningful cost savings for our clients.