Securities Enforcement
Morgan Lewis maintains one of the leading enforcement practices in the securities industry, serving major regional and global financial institutions including banks, broker-dealers, and investment advisers, as well as public companies—across all industries.
For decades our team has represented financial institutions and public companies—as well as their senior executives, officers, and directors—in regulatory inquiries, investigations, and enforcement proceedings conducted by federal and state regulators, self-regulatory organizations, and other oversight bodies including the following:
- US Securities & Exchange Commission (SEC)
- US Department of Justice (DOJ)
- Financial Industry Regulatory Authority (FINRA)
- Commodity Futures Trading Commission (CFTC)
- Public Company Accounting Oversight Board (PCAOB)
- State securities regulators
- States attorneys general
Corporate boards, audit committees, and special committees also frequently turn to our team to conduct internal investigations and advise on critical matters such as whistleblower allegations, corporate governance, and disclosure issues. We represent clients in investigations and actions at all levels and spanning the full range of securities markets and related regulatory issues. Where litigation is unavoidable, our seasoned trial lawyers vigorously litigate on behalf of our clients in in-house tribunals, arbitrations, and US state and federal courts.
Our insider insight means that we know first-hand how prosecutors, investigators, and regulators think—and what they expect. Our team includes multiple former high-ranking SEC officers—including the former Acting Deputy Director of Enforcement, regional office directors, associate directors, and supervisory trial counsel. Clients also benefit from our ability to draw upon the resources and talents of lawyers—several of whom previously held senior positions at the SEC, DOJ and FINRA—across the breadth of our firm’s practices including white collar, investment management, capital markets and public companies, mergers and acquisitions, and labor and employment. Collectively, our team can provide efficient, customized, and holistic representation on any matter.
