Government Enforcement and Internal Investigations
Overview
Our Government Enforcement & Internal Investigations practice represents financial services clients including investment advisers, broker-dealers, public and private companies, and their executives in high-stakes regulatory and enforcement matters.
Our team draws on a deep understanding of the financial services industry and firsthand experience from prior roles at the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Department of Justice (DOJ), and the New York Attorney General’s Office (NYAG). We provide strategic, informed guidance across the lifecycle of risk from proactive compliance consulting to regulatory examinations, internal investigations, and enforcement proceedings. We represent clients in investigations by the SEC, FINRA, DOJ, CFTC, NYAG, and other governmental and regulatory authorities.
Our team handles matters involving:
- insider trading;
- market manipulation;
- market structure and regulation;
- valuation and accounting issues;
- conflicts of interest;
- advertising and marketing;
- sales practices and supervision;
- financial crime compliance;
- economic sanctions matters;
- anti-money laundering (AML) concerns;
- anti-corruption and anti-bribery matters;
- employee misconduct;
- firmwide and systemic regulatory issues;
- employee and firm-wide supervisory matters;
- digital assets;
- artificial intelligence (AI);
- prediction markets;
- emerging tech and related regulatory compliance
Our approach is practical and proactive. We work with clients to anticipate risk, design and enhance compliance programs, respond effectively to regulators, and implement remediation strategies when appropriate. We believe early assessment, careful, cross-disciplinary coordination among team members with the right expertise, and confident advocacy are critical to achieving successful outcomes, while minimizing business disruption and reputational harm for our clients.
Capabilities
Related Practice Areas
Recognitions
- Chambers USA: Litigation: White-Collar Crime & Government Investigations (New York)
- The Legal 500: Dispute Resolution – Corporate Investigations And White-Collar Criminal Defense (advise to individuals)
- The Legal 500: Dispute Resolution – Corporate Investigations And White-Collar Criminal Defense (advise to corporates)
Related Practice Areas
Recognitions
- Chambers USA: Litigation: White-Collar Crime & Government Investigations (New York)
- The Legal 500: Dispute Resolution – Corporate Investigations And White-Collar Criminal Defense (advise to individuals)
- The Legal 500: Dispute Resolution – Corporate Investigations And White-Collar Criminal Defense (advise to corporates)
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