Investigations and Enforcement

We have regularly defended and counseled companies and individuals facing investigation by the Securities and Exchange Commission and other regulators. We are also experienced in conducting internal investigations exploring, among other things, potential unlawful conduct or regulatory breaches and advising on corporate practices, policies, and procedures. Examples of enforcement matters and investigations that the firm’s attorneys have handled include:

  • Represented registered investment advisers in SEC investigations probing compliance with a range of requirements under the Investment Advisers Act of 1940.
  • Represented a financial institution accused of “spoofing” behavior by the Commodity Futures Trading Commission.
  • Represented an individual in an SEC investigation of a foreign exchange trading program marketed by a major bank.
  • Represented a major accounting firm in an SEC investigation probing the revenue recognition practices of a Fortune 100 company.
  • Represented the former chief financial officer of large public company in multiple internal investigations commissioned by the Audit Committee of the company’s board of directors. 
  • Represented Special Committee of the board of directors of a leading entertainment company in connection with parallel investigations by the Department of Justice and the SEC.
  • Represented global asset manager in investigation of compliance with a range of securities regulatory requirements.