Securities Litigation & Enforcement
BuckleySandler lawyers represent public companies, financial services firms, and audit firms as well as their officers, directors, senior managers, partners, and employees in investigations and enforcement proceedings brought by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice, state Attorneys General and other governmental agencies.
BuckleySandler also regularly defends public companies and their officers and directors in class actions, individual, and derivative lawsuits brought by state and federal regulators and shareholders and other private parties.
Enforcement
Our attorneys have frequently defended corporate and individual clients in concurrent criminal, civil enforcement and legislative investigations. We provide advice and counsel at every stage of these proceedings, including:
- Handling the initial information requests
- Producing documents
- Preparing witnesses for and defending them during testimony
- Crafting Wells submissions
- Making presentations
- Negotiating with the relevant staff to ensure the best possible outcome
We are able to guide clients to an amicable settlement or assess litigation options and defend against enforcement proceedings in court or before regulatory tribunals.
We also conduct internal investigations on behalf of public companies, their boards, audit committees, and special committees, and routinely provide advice to clients as to the best ways to establish and implement securities law compliance programs.
Litigation
Our litigation experience includes:
- Defense of actions for securities fraud and misrepresentation, including class actions and individuals
- Derivative actions involving claims of breach of fiduciary duty and related torts