Securities Enforcement

Steptoe's securities enforcement lawyers represent corporate and individual clients in sensitive and complex securities matters. We serve as regulatory or special counsel to leading public companies and financial institutions, and their officers, directors, board committees, and full boards across the country and overseas. By integrating the judgments of our litigators with those of our corporate and regulatory counselors, we regularly help clients avoid undue regulatory scrutiny, litigation, and other disputes – or we will have helped them develop the best and most protective record if an investigation or action follows.

Steptoe advises corporate and individual clients in connection with SEC enforcement matters and the many collateral risks they pose. We represent clients for the purposes of agency rulemaking initiatives, inspections, enforcement inquiries and investigations, administrative proceedings, and federal court actions seeking injunctive and other relief – the full spectrum of matters before or involving the Commission. The firm also represents clients in related federal and state grand jury investigations and criminal proceedings, as well as in matters before CFTC and FINRA and other self-regulatory organizations. We bring to bear insights borne of extensive government service and regular appearances before federal and state regulators and prosecutors. Several of the firm's partners are former prosecutors with experience in securities matters. Others have served with the Securities and Exchange Commission, including a former Associate Director of its Division of Enforcement.

Another core segment of this practice involves assisting public companies, boards of directors, board committees, and others in conducting internal investigations, and helping clients address corporate governance matters and all forms of corporate crises. We assist clients in developing preventive and remedial measures before and after securities law issues arise. We also help clients establish compliance programs and other measures designed to detect and prevent conduct that might lead to government inquiry or enforcement action.

Professionals

Akita Adkins

Akita Adkins is a member of the SEC Enforcement practice, based in Washington, DC and Houston. She represents a diverse array of clients, including public companies, financial institutions, accounting...

Of Counsel

Securities Enforcement

Washington, DC
+1 202 429 3777

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James Brochin

Over the course of his career, Jim Brochin has specialized in the hard case, the case which involves difficult legal or factual issues – or often both. Jim focuses his practice on white-collar defense...

Partner

White-Collar Defense, Independent & Internal Investigations, Securities Enforcement, Commercial Litigation

New York
+1 212 378 7503

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Spencer Busby

Spencer Busby represents financial institutions, public companies, accounting firms, and other regulated entities in regulatory enforcement matters, internal investigations, and criminal defense...

Associate

Securities Enforcement, White-Collar Defense, Anti-Corruption/FCPA, Independent & Internal Investigations

New York
+1 212 378 7534

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Christopher R. Conte

Chris Conte focuses on conducting independent and internal investigations and representing public companies, public accounting firms, financial services firms, officers, directors, auditors, and other...

Partner

Securities Enforcement, White-Collar Defense, Independent & Internal Investigations, Privacy & Cybersecurity

Washington, DC
+1 202 429 6425

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Michael Dockterman

Michael Dockterman is a celebrated trial lawyer who has tried scores of commercial disputes, both civil and criminal, throughout the United States. In addition to civil and criminal securities,...

Partner

Commercial Litigation, Crisis Management, Independent & Internal Investigations, Class Action Defense

Chicago
+1 312 577 1243

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Dwight J. Draughon, Jr.

Dwight Draughon defends corporations and individuals in white-collar criminal cases and government investigations, focusing on matters related to public corruption, the Foreign Corrupt Practices Act (...

Partner

White-Collar Defense, Independent & Internal Investigations, Congressional Oversight & Investigations, Education

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Michael V. Dunn

Michael Dunn, former acting chairman of the Commodity Futures Trading Commission (CFTC), brings nearly four decades of experience working with federal regulators, both in the rule-making process and...

Senior Policy Advisor

Government Affairs & Public Policy, Financial Services, Financial Regulatory Compliance & Policy, Securities Enforcement

Washington, DC
+1 202 429 6206

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David Matthew Fragale

David Fragale's practice is primarily devoted to white-collar criminal defense matters. He has defended corporate and individual clients at all stages of state and federal criminal proceedings,...

Of Counsel

White-Collar Defense, Independent & Internal Investigations, Securities Enforcement, Anti-Corruption/FCPA

Washington, DC
+1 202 429 8195

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Sandra Hanna

Sandra Hanna leads the firm's SEC Enforcement practice, based in Washington, DC and New York. She represents public companies, regulated entities, audit firms and senior executives in regulatory...

Partner

Securities Enforcement, White-Collar Defense, Monitorship, Anti-Corruption/FCPA

Washington, DC
+1 202 429 8094

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Brian M. Heberlig

Brian Heberlig is a first-chair white-collar criminal defense lawyer with more than 25 years of jury trial experience in complex, high-profile criminal cases nationwide. Brian is a Fellow of the...

Partner

White-Collar Defense, Independent & Internal Investigations, Securities Enforcement, Anti-Corruption/FCPA