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- Financial Restructuring
- Global Human Capital and Compliance
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- Middle East and Islamic Finance and Investment
- Private Credit & Special Situations Investing
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- Technology Transactions
- Government Matters
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- Government Matters
- Overview
- Antitrust
- Data, Privacy and Security
- Environmental, Health and Safety
- FDA and Life Sciences
- Government Advocacy and Public Policy
- Government Contracts
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- International Trade
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- Trial and Global Disputes
- Overview
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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.
Entities we serve:
- Public and Private Companies
- Boards and Board Committees
- Financial Institutions
- Investment Advisers and Private Funds
- Broker-dealers
- Credit Rating Agencies
- Private Equity and Venture Capital Funds
- Accounting Firms
- Law Firms
- Exchanges and Self-Regulatory Organizations
- Commodity Market Participants
- Municipalities and other Government Entities
Individuals we serve:
- Auditors
- Lawyers
- Directors and Officers
- Securities and Commodities Industry Professionals
- Other Professionals
Specialty matters:
- Auditor and Professional Liability
- Corporate Accounting and Disclosure
- Corporate Governance
- FCPA
- Asset Management
- Insider Trading and Tipping
- Complex Financial Products
Work for which we are recognized:
- Board Investigations
- Corporate Governance Counseling
- Compliance Counseling
- Cross-border Investigations
- Due Diligence
- Government Investigations
- Internal Investigations
- Litigation against the Government
- Regulatory Examination Counseling
Agencies/Organizations we appear before:
- Securities and Exchange Commission - SEC (we’ve appeared before all 12 field offices and specialized units)
- Department of Justice – DOJ (we’ve appeared before 73 of the 93 U.S. Attorney’s Offices)
- Financial Industry Regulatory Authority – FINRA
- Commodities Futures Trading Commission - CFTC
- Internal Revenue Service – IRS
- Food and Drug Administration – FDA
- Office of the Comptroller of Currency – OCC
- Public Company Accounting Oversight Board – PCAOB
- The Federal Reserve
- State Attorneys General
- UK Financial Conduct Authority - FCA
- Hong Kong Securities and Futures Commission
- Swiss Financial Market Supervisory Authority
- German BaFin
- Brazilian Federal Prosecution Offices
- Transport Canada
- World Bank
- NYS Department of Financial Services - DFS
Related Lawyers
Dixie Johnson and Carmen Lawrence Named to List of Top 40 Securities Enforcement Lawyers in the U.S.
Insights
Client Alert
March 19, 2021
SEC Kicks Off 2021 Agenda With Intense Focus on ESG Disclosures
Article · Source: New York Law Journal
March 4, 2021
Spotlight on DFS Trial Forum For First Cyber-Regs Case
Article · Source: Law360
February 17, 2021
A Revived Disparate Impact Doctrine Under Biden's CFPB
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Recognition
Dixie Johnson, Carmen Lawrence and Richard Walker Named Top 40 Securities Enforcement Defense Lawyers
Securities Docket, 2020
Two-time White Collar Practice Group of the Year
Law360
Dixie Johnson ranked Band 1 for Securities Regulation 4 years running
Chambers USA, 2020
Ranked as one of the world’s top 25 firms for investigations
Global Investigations Review, 2020
“Strong bench of go-to enforcement attorneys with notable regulatory capabilities”
Chambers USA, 2020
“The team was impeccable. They have been an outstanding partner to us”
A client to Chambers USA, 2020
News
In the News · Source: Law360
March 5, 2021
Aaron Lipson discusses the impact of Gary Gensler becoming the SEC’s next chair on special purpose acquisition companies
In the News · Source: Corporate Crime Reporter
March 3, 2021
Corporate Crime Reporter profiles Dixie Johnson who discusses internal investigations, SEC whistleblowing and self reporting
Press Release
February 22, 2021
King & Spalding’s New York Office Adds Financial Services Partner Russell Sacks