Securities Enforcement

Most publicly traded companies and registered financial and advisory firms will, at some point, become involved in inquiries by the SEC, DOJ, FCA, FINRA, PCAOB or state attorneys general or securities commissioners. Successfully navigating the complex legal, factual and practical nuances of these matters requires lawyers who possess deep understanding of the securities laws, rules and regulations, the enforcement agencies, and the business considerations that necessarily guide any response to a securities enforcement matter.

With a combined 60+ years of experience at the highest levels of the Securities and Exchange Commission, Debevoise has an unparalleled, comprehensive understanding of the SEC’s enforcement and examination programs. Our deep experience gives clients a significant advantage in the face of regulatory scrutiny across a broad range of securities-related enforcement, examination, and compliance issues.

Among many other issues, we have advised clients – in both pre-regulatory/internal investigations and exam and high-stakes enforcement contexts – on broker-dealer practices, accounting, asset valuation, insider trading, FCPA, market manipulation, advertising, offering and financial frauds, trading policies and procedures, economic sanctions, money laundering, and whistleblower issues. We also assist clients in best positioning themselves for future exams through compliance program reviews.