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:
Individuals we serve:
Work for which we are recognized:
Agencies/Organizations we appear before:
February 5, 2019
A Look At FINRA's New 529 Plan Self-Reporting Initiative
February 1, 2019
To Tweet or Not to Tweet? Lessons in Careful Use of Social Media
Law360, 2010 and 2016
Chambers USA, 2017
Global Investigations Review
January 22, 2019
Michael Watling comments on why the increased focus on risk-monitoring in FINRA's annual examination letter reflects changes to the agency’s priorities since the arrival of Robert Cook as CEO