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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March 19, 2021
SEC Kicks Off 2021 Agenda With Intense Focus on ESG Disclosures
March 4, 2021
Spotlight on DFS Trial Forum For First Cyber-Regs Case
February 17, 2021
A Revived Disparate Impact Doctrine Under Biden's CFPB
March 5, 2021
Aaron Lipson discusses the impact of Gary Gensler becoming the SEC’s next chair on special purpose acquisition companies
March 3, 2021
Corporate Crime Reporter profiles Dixie Johnson who discusses internal investigations, SEC whistleblowing and self reporting
February 22, 2021
King & Spalding’s New York Office Adds Financial Services Partner Russell Sacks