More of an SRO - FINRA Unveils Its Priorities for 2018
With a team that includes seasoned trial lawyers, a deep bench of white collar defense lawyers with contacts across industries, two former presidentially appointed U.S. Attorneys as well as former senior officials at the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ), we bring integrated solutions to the most complex and challenging situations your company may face. We regularly assist audit committees in conducting internal investigations, and defending investigations and enforcement actions by the SEC, DOJ and state attorneys general.
Our lawyers have represented public companies, officers and directors, financial institutions, broker-dealers, accounting firms, and public municipalities in hundreds of government investigations, actions and trials. Our lawyers regularly counsel companies in dealing with inquiries from the DOJ, the SEC, state attorneys general and district attorneys, multilateral development banks such as the World Bank, and self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA).
From the moment you are first notified of a regulatory investigation or enforcement action, our team of experienced litigators, former SEC lawyers, former federal and state prosecutors, and white collar criminal defense lawyers offers you the confidence of experience in guiding you through your case.
We can help guide your response in an effort to limit the scope and duration of the investigation to maximize the prospect for a favorable outcome, and counsel you on questions of privilege as well as the pros and cons of cooperation agreements.
We regularly work with companies, audit and special committees, and institutions that are involved in government investigations as well as individuals who need separate representation, including individuals facing parallel SEC and DOJ investigations.
We have broad experience in shutting down government investigations and, when appropriate, reaching suitable settlements that avoid costly battles and the negative effects of publicity. We also have the team and the experience to take matters to trial when circumstances dictate – an approach that, in turn, often produces more favorable settlements with regulators.
Such investigations and lawsuits potentially are covered under indemnity agreements and directors’ and officers’ (D&O) insurance policies, which often provide for the advancement of lawyers’ fees and costs in defending such actions. Our lawyers can assist you in determining your indemnity and insurance rights. We also have strong relationships with D&O insurance carriers, and can assist you in working with insurance carriers.
Our lawyers have forged strong working relationships and credibility with the senior leadership and staff at the SEC, the DOJ and other regulatory agencies across the country, and have developed strong relationships with members of the SEC and white collar defense bar. We deal with the staffs of the SEC, the DOJ, the PCAOB, SROs, the CFTC and state regulatory authorities on a regular basis, and our lawyers are well-known and well-respected by the staffs in Washington, D.C., San Francisco, Los Angeles, New York and other regional offices.
The situation may be new and daunting to you, but our lawyers are well-versed in the situation and are here to help you through it.
Our lawyers have successfully handled a wide variety of government investigations, criminal proceedings and enforcement actions with the DOJ, the SEC and other regulatory agencies. Representative matters include: