Practices & industries
Securities Enforcement Defense
Overview
Securities investigations and enforcement actions by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), U.S. Department of Justice, and other federal and state regulatory agencies continue unabated. Lawyers on the White Collar Defense and Investigations team, often working with experienced colleagues in the firm's Corporate and Business Law group, have counseled numerous clients in connection with securities investigations and actions. We have represented companies and individuals in connection with all aspects of securities law enforcement, from litigation to complex investigations to preventive compliance.
We have an established track record of convincing regulators to close investigations without taking action against our clients. We have persuaded SEC and SRO staff to reverse preliminary recommendations of enforcement action. We have assisted clients in reaching favorable settlements with regulators to avoid the risks of litigation and adverse publicity, and where settlement is not desirable, clients benefit from our considerable trial and appeals experience.
Experience
No aspect of this advertisement has been approved by the highest court of any state. Prior results do not guarantee a similar outcome.
- Represented a public company in an SEC investigation and enforcement proceedings related to its financial statements.
- Represented hedge fund executives in an SEC enforcement proceeding parallel to criminal proceedings alleging securities fraud.
- Represented individuals in connection with civil actions and investigations by the SEC alleging insider trading.
- Represented a hedge fund manager in an SEC enforcement action involving fund valuation issues.
- Represented individuals in investigations by FINRA and state regulators alleging trading and broker-dealer violations.
- Represented a broker-dealer in an action by state regulators alleging micro-cap stock violations.
- Served as counsel to distribution agent in SEC Fair Fund matter
- Retained by broker-dealers and investment advisers to review and revise written supervisory procedures
Related Practices and Industries
News & Insights
Thought Leadership
- Stock Trading Plan Rule Amendments Augur Changes to Securities Fraud Litigation, February 10, 2022
- The Delaware Supreme Court Adopts a Universal Demand-Futility Test in Facebook Investors' Derivative Suit, September 27, 2021
- White Collar Roundup - November 2015, November 4, 2015
- Appellate Division Rejects Ascertainability as a Class-Certification Requirement in New Jersey State Courts, May 28, 2015
- Recent N.J. Supreme Court Decision Highlights Pitfalls of Nonbinding Arbitration, February 3, 2015
Events
- What to do When the Government Comes a Knocking, April 7, 2010
News
- Day Pitney Receives Top-Tier Rankings in 2025 Edition of Best Law Firms®, November 7, 2024
- Stan Twardy to Be Presented With Prestigious Richard Law Award, March 15, 2023
- Mark Salah Morgan Reappointed to the New Jersey Supreme Court's Committee on Complementary Dispute Resolution, September 20, 2021
- Day Pitney Promotes Five New Partners, January 2, 2020
- Day Pitney Hosts Speech by EDNY U.S. Attorney to ABA Committee, January 6, 2017
