Securities 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.
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: handling the initial information requests; producing documents; preparing witnesses for and defending them during testimony; crafting Wells submissions; making presentations; and 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.
For more information, please see our list of Selected Securities Enforcement Representations.
Partners in this practice:
|
David Baris |
|
Samuel J. Buffone |
|
David S. Krakoff |
|
Christopher F. Regan |
-
-
In-depth review of news & developments in the financial services industry.
-
-
A full listing of national & state bank regulatory agencies & industry groups.