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 Trials & 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...

Senior Counsel

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

Washington, DC
+1 202 429 6425

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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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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,...

Senior 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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McKenzie Haynes

McKenzie Haynes is a senior litigation associate focusing on white collar criminal defense, government and internal investigations. With significant experience across all phases of the litigation...

Associate

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

Washington, DC
+1 202 429 1350

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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 and high-profile criminal cases across the United States.Widely...

Partner

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

Washington, DC
+1 202 429 8134

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Weisiyu Jiang

Weisiyu Jiang is a seasoned antitrust lawyer whose practice spans mergers and acquisitions, government investigations, private litigation, civil enforcement, and compliance counseling. Weisiyu has...

Associate

Antitrust/Competition, Antitrust Investigations & Litigation, Antitrust Mergers, Acquisitions, & Joint Ventures, Internet, Telecom & Media