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.
News & Publications
Investigations & Enforcement Blog
US Supreme Court Further Constricts Fraud Prosecutions with Thompson Decision
April 14, 2025
Blockchain Blog
Deputy Attorney General Memorandum: "Ending Regulation by Prosecution"
April 11, 2025
By: Marlon Paz, Andrew C. Adams, Evan T. Abrams, Galen Kast, Ryan Hayden, Sophia Breggia
Publications
International Arbitration Laws and Regulations 2025 – USA
Global Legal Insights
April 7, 2025
Publications
Fraud, Asset Tracing and Recovery Laws in USA
Commercial Dispute Resolution
April 2, 2025
Media Mentions
Bloomberg Law Quotes Akita Adkins on Removal of Delegated Authority for Formal Order Approval
March 21, 2025
Blockchain Blog
SEC Division of Corporation Finance Statement on Certain Proof-of Work Mining Activities
March 21, 2025
Media Mentions
March 7, 2025
Events
Webinars
Quarterly Investigations & Enforcement Update
April 24, 2025
Speakers: Jason Abel, Akita Adkins, Iris E. Bennett, Christopher R. Conte, Amba M. Datta, Ryan Hayden, Michelle Kallen, Patrick F. Linehan, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Quarterly Investigations & Enforcement Update
January 28, 2025
Speakers: Jason Abel, Lee Berger, Christopher R. Conte, Amba M. Datta, Ryan Hayden, Gregory S. McCue, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Consumer Protection Regulation in 2025
December 11, 2024
Speakers: Akita Adkins, Daniel Blynn, Lee Berger, Eric Berman, Michelle Kallen, Benjamin M. Saul
Webinars
Quarterly Investigations & Enforcement Update
October 30, 2024
Speakers: Jason Abel, Akita Adkins, Iris E. Bennett, Amba M. Datta, Sandra Hanna, Ryan Hayden, Patrick F. Linehan, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Quarterly Investigations & Enforcement Update
July 31, 2024
Speakers: Jason Abel, Iris E. Bennett, Coy Garrison, John J. Kavanagh, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Quarterly Investigations & Enforcement Update Webinar
May 1, 2024
Speakers: Jason Abel, Iris E. Bennett, Christopher R. Conte, Amba M. Datta, Patrick F. Linehan, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Quarterly Investigations & Enforcement Update Webinar
January 25, 2024
Speakers: Jason Abel, Iris E. Bennett, Lee Berger, Christopher R. Conte, Amba M. Datta, John J. Kavanagh, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
April 27, 2023
Speakers: Jason Abel, Christopher R. Conte, Amba M. Datta, John J. Kavanagh, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
July 28, 2022
Speakers: Jason Abel, Iris E. Bennett, Amba M. Datta, Coy Garrison, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
April 21, 2022
Speakers: Iris E. Bennett, Christopher R. Conte, Paul R. Hurst, Alexandra Melia, Michael Campion Miller, Wendy Wysong
Resources
Client Alerts
FCPA/Anti-Corruption Developments: 2022 Year in Review
February 24, 2023
By: Iris E. Bennett
Client Alerts
FCPA/Anti-Corruption Developments: 2021 Year in Review
February 15, 2022
By: Iris E. Bennett, Brigida Benitez, Zoe Osborne, Wendy Wysong, Jingchun (Cherry) Huang, Samantha McCarthy, James M. Purce, Lin Yang, Bo Yue, Wilson Zhao, Joshua Dupre (law clerk), Zhaoxi Zhang (international paralegal)
Client Alerts
The Top Ten Asia-Pacific FCPA Enforcement Actions of 2020
January 27, 2021
By: Wendy Wysong
Client Alerts
FCPA/Anti-Corruption Developments: 2020 Year in Review
January 19, 2021
By: Zoe Osborne, Brigida Benitez, Alexandra Baj, Christopher R. Conte, Alexandra Melia, Ali Burney, Fernando Q. Merino, Wendy Wysong, Jefferson Klocke, Jingchun (Cherry) Huang, Troy Shephard, Lin Yang, Bo Yue, Lucas Caiado (International Regulation & Compliance Intern), Jordan Cannon (Law Clerk), Marcia Pulcherio (International Trainee)
Client Alerts
June 23, 2020
Client Alerts
The Top Ten Asia-Pacific FCPA Enforcement Actions of 2019
February 3, 2020
By: Wendy Wysong, Ali Burney
Client Alerts
FCPA/Anti-Corruption Developments: 2019 Year in Review
January 21, 2020
By: Brigida Benitez, Wendy Wysong, Zoe Osborne, Steven J. Barber, Alexandra Melia, Ali Burney, Fernando Q. Merino, Alexandra Baj, Jefferson Klocke, Troy Shephard, Lin Yang, Bo Yue
Financial Services Group Advisory
October 28, 2019
By: Micah S. Green, Michael V. Dunn, Richard Shilts, Patrick Northrup (Legislative Assistant)
Client Alerts
FCPA/Anti-Corruption Developments: 2018 Year in Review
February 28, 2019
By: Brigida Benitez, William L. Drake, Alexandra Melia, Fernando Q. Merino, Alexandra Baj, Evan T. Abrams, Lin Yang, Bo Yue, Troy Shephard
Client Alerts
Long-Awaited Decision Issued on FCPA's Reach Over Non-Resident Foreign Nationals
September 5, 2018