Overview
The Securities & Commodities Enforcement Defense Team represents the full spectrum of market participants, including public-company issuers and their officers and directors, investment advisers and their principals, sponsors of private and retail funds, family offices, exchanges, broker-dealers, futures commission merchants, swap dealers, and digital asset platforms operating in rapidly evolving markets. We guide you through, and aggressively defend against, investigations and enforcement actions brought by the Securities and Exchange Commission (SEC); Commodity Futures Trading Commission (CFTC); other federal, state, and foreign regulators; and self-regulatory organizations such as FINRA and the National Futures Association.
Our team brings together former federal prosecutors, regulators, and experienced trial lawyers with a thorough understanding of the financial markets, complex financial products, and how financial regulators identify, investigate, and litigate high-stakes enforcement matters. We regularly defend clients in parallel and cross-border proceedings, including matters that proceed simultaneously before the SEC, Department of Justice, and foreign regulators. We have extensive experience guiding institutions and their senior executives, officers, directors, and other financial professionals through complex regulatory inquiries and parallel civil and criminal investigations and enforcement actions involving the full spectrum of securities, commodities, and digital asset enforcement risks.
Our approach is proactive, pragmatic, and always focused on achieving the best possible outcome for you. Whether through quiet resolution or vigorous defense in court, we work to protect your business operations, reputation, and long-term strategic objectives.