Capabilities
Our Securities Enforcement and Regulation group advises leading financial institutions, regulated entities and public companies, boards of directors and audit committees, and individual senior executives, officers, and directors in all types of securities law enforcement matters. These representations often remain non-public due to successful resolution without any action against our clients.
Our team includes the only person in history to have served as both Director of Enforcement and General Counsel of the SEC, a former Director of the SEC’s Northeast Regional Office, a former Assistant Director in the SEC’s Enforcement Division, a former Assistant Attorney General in charge of DOJ’s Criminal Division, a former U.S. Attorney who co-chaired the Securities and Commodities Fraud Working Group which includes the DOJ, Federal Bureau of Investigation, Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority and other agencies, and a former Chief of the Securities and Commodities Fraud Task Force in the Southern District of New York’s U.S. Attorney’s Office, as well as other state and federal prosecutors, and experienced SEC enforcement practitioners focused on only securities matters. We regularly and successfully appear before the SEC, DOJ, CFTC, FINRA, PCAOB, the U.K. FCA and other international authorities and state regulators.
We have the experience to guide you through the investigatory process, the credibility to advocate effectively for you before the enforcement authorities, and the judgment to help you achieve the best possible outcome in a variety of high-stakes matters.
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Work for which we are recognized:
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July 1, 2023
Special Issues in Investigations of Accountants
June 13, 2023
SEC Form PF Amendments Show Private Fund Adviser Focus
May 30, 2023
Bye-Bye Big Boys? The SEC Turns its Enforcement Focus to Private Deals
August 7, 2023
Benchmark Litigation Names Three King & Spalding Partners to its List of Top 250 Women in Litigation
July 27, 2023
George Williams discusses the FDIC’s vote to increase capital requirements for banks
Zach Fardon to Speak at Securities Enforcement Forum Central 2023
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