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 investigation.

Debevoise lawyers in the Securities Enforcement group are recognized as leaders in the field, and several partners in the group have held prominent positions at key governmental agencies, including the SEC and DOJ. With years of experience successfully representing companies, boards of directors and individual executives in a wide range of securities-related matters, including FCPA, insider trading, financial fraud, accounting fraud, and investment advisor liability, Debevoise lawyers have the skills and experience to develop strategies to respond to regulatory inquiries in an efficient and effective manner and to reach favorable resolutions for clients, in some cases even before investigations are made public.