Securities Regulatory Litigation & Compliance

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Experience

Financial Market Regulation

We represent clients in government agency investigations and enforcement proceedings brought by exchanges, self-regulatory organizations, government agencies, local civil and criminal prosecutors/regulators and foreign securities regulators.

Private Litigation

We’ve achieved successful outcomes for clients in class actions, derivative lawsuits and arbitrations, including matters in which fraud and accounting irregularities were alleged.

Relevant Experience

We assist clients with issues such as:

    • Stock option grant backdating
    • Mutual fund market timing
    • Late trading
    • Allegations of market manipulation
    • Accounting and financial disclosure issues
    • Securities registration issues
    • Executive conduct and compensation
    • Sales practices
    • Failure to supervise
    • Clearing and trading irregularities
    • Trade reporting violations
    • Sales practice rule violations
    • Insider trading issues
    • Allegations of misconduct on the part of professionals (including lawyers and accountants) in public offerings and financial reporting

Regulatory and Government

We represent clients before exchanges, regulatory agencies, self-regulatory organizations including the:

    • U.S. Securities and Exchange Commission (SEC)
    • U.S. Department of Justice (DOJ)
    • Manhattan District Attorney’s Office
    • New York State Attorney General’s Office
    • Financial Industry Regulatory Authority (FINRA, formerly known as NASD)
    • U.K. securities regulators
    • Swiss securities regulators

"We have successfully dealt with agencies including the SEC, U.S. DOJ, local prosecutors such as the Manhattan DA’s Office, the Financial Industry Regulatory Authority (formerly known as the NASD), the New York and American Stock Exchanges and state securities agencies. Our in - depth command of the regulatory and compliance environment is key to protecting our clients' business and their personal interests."

Brian D. Waller

Partner

New York, NY

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Professionals

Jeff Hage

Jeff Hage

Of Counsel

Jeff Hage

Jeff Hage

Of Counsel

Kevin J. O’Connor

Kevin J. O’Connor

Chair, Business Litigation

Kevin J. O’Connor

Kevin J. O’Connor

Chair, Business Litigation

Brian D. Waller

Brian D. Waller

Chair, White Collar, Regulatory Compliance & Investigations

Brian D. Waller

Brian D. Waller

Chair, White Collar, Regulatory Compliance & Investigations

Insights Shared

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