Government & Regulatory Investigations
Overview
Governmental, Regulatory and Internal Investigations
We have broad experience representing individuals and entities before federal and state prosecutorial and regulatory agencies in connection with government investigations and enforcement actions. Among the types of issues the Governmental and Regulatory Investigations group has handled in recent years are:
- Insider Trading
- Sales of unregistered securities
- Regulation M
- Cross-trading
- Broker-dealer registration requirements
- Placement Fees
- Defense of "Clawback" claims by bankruptcy trustees and offshore liquidators
- Short-swing profits under the Securities Exchange Act of 1934
- Defense of officers and directors against claims arising out of restatements of public company financial statements
Our firm represents investment advisers, hedge funds, broker-dealers, and officers and directors of private and public companies before the SEC, the U.S. Department of Justice, the Financial Industry Regulatory Authority, and the Office of the Attorney General of the State of New York. We also represent commodity trading advisers and commodity pool operators in investigations conducted by the Commodity Futures Trading Commission.
We advise Audit Committees and Special Committees of Boards of Directors in connection with internal investigations, change of control transactions, and other matters. We also represent parties in connection with governmental investigations involving the insurance and real estate industries.
We protect our clients' rights, and we do so efficiently. We are sensitive to our clients' resources and we manage them appropriately. We are familiar with the investigative process of governmental agencies and have the expertise to guide our clients, whether they are witnesses or targets of such investigations.
Case Studies
Sorry, there are no Case Studies related to this Practice Area.
Publications
- Private Funds and the Issuer Exemption
- Does The Supreme Court’s Decision in Lucia Alter the Fairness of SEC Administrative Proceedings
- Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence”
- 2nd Circuit upholds insider trading conviction of Mathew Martoma, striking down a key holding of Newman
- Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability
- SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities
Governmental, Regulatory and Internal Investigations
We have broad experience representing individuals and entities before federal and state prosecutorial and regulatory agencies in connection with government investigations and enforcement actions. Among the types of issues the Governmental and Regulatory Investigations group has handled in recent years are:
- Insider Trading
- Sales of unregistered securities
- Regulation M
- Cross-trading
- Broker-dealer registration requirements
- Placement Fees
- Defense of "Clawback" claims by bankruptcy trustees and offshore liquidators
- Short-swing profits under the Securities Exchange Act of 1934
- Defense of officers and directors against claims arising out of restatements of public company financial statements
Our firm represents investment advisers, hedge funds, broker-dealers, and officers and directors of private and public companies before the SEC, the U.S. Department of Justice, the Financial Industry Regulatory Authority, and the Office of the Attorney General of the State of New York. We also represent commodity trading advisers and commodity pool operators in investigations conducted by the Commodity Futures Trading Commission.
We advise Audit Committees and Special Committees of Boards of Directors in connection with internal investigations, change of control transactions, and other matters. We also represent parties in connection with governmental investigations involving the insurance and real estate industries.
We protect our clients' rights, and we do so efficiently. We are sensitive to our clients' resources and we manage them appropriately. We are familiar with the investigative process of governmental agencies and have the expertise to guide our clients, whether they are witnesses or targets of such investigations.
Sorry, there are no Case Studies related to this Practice Area.
- Private Funds and the Issuer Exemption
- Does The Supreme Court’s Decision in Lucia Alter the Fairness of SEC Administrative Proceedings
- Criminal Conviction Highlights the Risk of Insider Trading Liability for Using “Political Intelligence”
- 2nd Circuit upholds insider trading conviction of Mathew Martoma, striking down a key holding of Newman
- Supreme Court Clarifies “Personal Benefit”: Requirement for Insider Trading Liability
- SEC’s Office of Compliance Inspections and Examinations Releases its 2016 Examination Priorities