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Securities Enforcement & Litigation

For more than a decade, stock market bubbles, financial fraud, and the economic turmoil that has resulted from the issuance and trading of complex financial instruments have elevated public and political demand for the regulation of capital markets to a level unprecedented in the last 80 years. The Securities and Exchange Commission (SEC), state securities authorities, self-regulatory organizations, and federal and state prosecutors have been aggressive in bringing civil, administrative, enforcement, and criminal actions with extremely high stakes for both corporations and individuals alike.

The Dodd-Frank, which has expanded the ability of the SEC to bring cases against people not directly or knowingly involved in wrongdoing, is one example of the aggressive enforcement of securities laws not likely to subside anytime soon.

Our lawyers have tried to successful conclusion cases alleging public company financial fraud, insider trading, and stock manipulation. We assist companies and individuals dealing with a broad range of enforcement issues – on both the federal and state level – that are a fact of business life. Our team includes alumni of the SEC and former prosecutors and public defenders. These attorneys are highly experienced and skilled in all phases of the enforcement process, including investigations, negotiation with securities regulators, and trial.

Not all enforcement cases are brought by the government. Private rights of action allow individuals who have experienced financial loss to act as private attorneys general in the enforcement of securities laws. In these instances, we have a proven record of success in defending against class, derivative, and individual actions, whether brought in federal or state court, or in FINRA arbitration.

Related Attorneys

Jonathon D. Bergman

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S. Lee Terry, Jr.

Partner, Asset Management, Finance & Acquisitions, Mergers & Acquisitions, Private Equity, Public Companies & Capital Markets, Securities Enforcement & Litigation, Intellectual Property, Technology Company & Technology Transactions, Executive Compensation, Crisis Management

Chad D. Williams

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Thomas P. Johnson

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Jacqueline V. Roeder

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