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
Press Releases
May 7, 2024
Media Mentions
May 6, 2024
Client Alerts
The Top Ten Asia-Pacific FCPA Enforcement Actions of 2022
January 18, 2023
By: Wendy Wysong, Wilson Zhao, Zoey Hong, Zhaoxi Zhang
Client Alerts
What’s Next in SEC and CFTC Review of Recordkeeping on Personal Devices?
October 18, 2022
Client Alerts
Hoskins II: Second Circuit Further Muddies Co-Conspirator/Agent Liability under FCPA
August 19, 2022
By: Iris E. Bennett, Patrick F. Linehan, Lucinda A. Low, Nicholas P. Silverman, Drew C. Harris
Press Releases
Steptoe Partner Brian Heberlig Discusses the Ali Sadr Case on “For the Defense” Podcast
March 1, 2022
Events
Webinars
Quarterly Investigations & Enforcement Update Webinar
May 1, 2024
Speakers: Jason Abel, Iris E. Bennett, Christopher R. Conte, Amba M. Datta, Stacie R. Hartman, Patrick F. Linehan, Lucinda A. Low, 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, Stacie R. Hartman, Lucinda A. Low, 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, Stacie R. Hartman, 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, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
April 21, 2022
Speakers: Iris E. Bennett, Christopher R. Conte, Stacie R. Hartman, Paul R. Hurst, Lucinda A. Low, Alexandra Melia, Michael Campion Miller, Wendy Wysong, Rachel B. Peck
Webinars
Investigations & Enforcement Webinar Series
January 27, 2022
Speakers: Jason Abel, Iris E. Bennett, Christopher R. Conte, Stacie R. Hartman, Paul R. Hurst, Patrick F. Linehan, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
October 28, 2021
Speakers: Christopher R. Conte, Stacie R. Hartman, Paul R. Hurst, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Webinars
Investigations & Enforcement Webinar Series
July 21, 2021
Speakers: Jason Abel, Christopher R. Conte, Stacie R. Hartman, Patrick F. Linehan, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, David M. Stetson, Wendy Wysong
Webinars
Navigating the Road Ahead: Oversight and Enforcement Related to COVID-19 Funds
July 13, 2021
Speakers: Jason M. Weinstein, Reem Sadik, Congressman Raja Krishnamoorthi, Tyler C. Murray, Ari Redbord
Webinars
Investigations & Enforcement Webinar Series
May 12, 2021
Speakers: Jason Abel, Christopher R. Conte, Stacie R. Hartman, Paul R. Hurst, Patrick F. Linehan, Lucinda A. Low, Michael Campion Miller, Zoe Osborne, Wendy Wysong
Resources
Client Alerts
FCPA/Anti-Corruption Developments: 2021 Year in Review
February 15, 2022
By: Iris E. Bennett, Lucinda A. Low, Rachel B. Peck, 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: Lucinda A. Low, Zoe Osborne, Brigida Benitez, Alexandra Baj, Christopher R. Conte, Alexandra Melia, Ali Burney, Fernando Q. Merino, Wendy Wysong, Rachel B. Peck, Jefferson Klocke, Veronica Ganzitti, 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
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: Lucinda A. Low, Brigida Benitez, Wendy Wysong, Zoe Osborne, Steven J. Barber, Alexandra Melia, Ali Burney, Fernando Q. Merino, Rachel B. Peck, Alexandra Baj, Jefferson Klocke, Veronica Ganzitti, Troy Shephard, Lin Yang, Bo Yue
Financial Services Group Advisory
October 28, 2019
By: Micah S. Green, Stacie R. Hartman, Michael V. Dunn, Richard Shilts, Patrick Northrup (Legislative Assistant)
Client Alerts
FCPA/Anti-Corruption Developments: 2018 Year in Review
February 28, 2019
By: Lucinda A. Low, Brigida Benitez, William L. Drake, Alexandra Melia, Fernando Q. Merino, Alexandra Baj, Rachel B. Peck, Evan T. Abrams, Katherine M. Dubyak, Lin Yang, Bo Yue, Troy Shephard
Client Alerts
Long-Awaited Decision Issued on FCPA's Reach Over Non-Resident Foreign Nationals
September 5, 2018
By: Lucinda A. Low