Financial Services Investigations & Enforcement

Our team possesses decades-long experience responding to investigations, monitoring and resolving issues raised by regulators, state attorneys general and district attorneys– often before an investigation is publicly disclosed. We advise financial services companies, trading firms, and their executives and traders in connection with investigative and enforcement matters initiated by the SEC, CFTC, FINRA, FERC, MSRB, NFA, Public Company Accounting Oversight Board, securities and commodity exchanges, and other regulatory bodies. Leveraging the strength of our white-collar practice, we also represent clients in investigations by other federal and state regulatory agencies, the Department of Justice, and state criminal authorities, many of which are parallel to the civil enforcement matters we handle. Our work also includes responding to and resolving single and multi-state attorney general investigations, often alongside proceedings by regulators such as the FTC, the OCC or the CFPB. Moreover, we routinely engage with local prosecutorial authorities and defend matters pursued by those offices.  

Our experience includes representing clients in regulatory and criminal investigations involving allegations of market manipulation, price manipulation, solicitation fraud, spoofing, wash sales, and other types of market abuses, as well as alleged false statements, sales practices, large trader reporting, swap reporting, and futures position limit violations. Our team conducts comprehensive, efficient internal investigations in connection with enforcement work. We represent individuals and companies in the nation's highest-profile criminal prosecutions and investigations. We frequently represent financial institutions and operating companies and their officers and directors in connection with white-collar issues such as allegations of money laundering, lender liability for securities fraud, common-law fraud, Racketeer Influenced and Corrupt Organizations Act (RICO) claims, and Foreign Corrupt Practices Act (FCPA) violations. We also have an active practice defending cryptocurrency industry participants and crypto-asset issuers with respect to federal and state enforcement actions, and remediating prior token issuances and pre-sales.