Willkie Farr & Gallagher LLP

Securities: Regulation Department

USA - Nationwide
Current View:

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What the team is known for Respected group of regulatory lawyers catering to asset management and financial services clients facing securities litigations, enforcement actions and investigative proceedings. Offers specialist expertise in accounting and disclosure issues as well as financial fraud. Regularly works with asset managers, corporations and broker-dealers, and has a proven track record of defending senior employees including executives, hedge fund principals and traders under investigation by the SEC.

Strengths"I think they are a top provider," says a client. "They have an excellent reputation in the securities defense Bar, and tremendous credibility."

Another source states: "The quality of their work is outstanding. They were highly professional and knowledgeable, and they represented us extremely well."

Work highlights Represented the Options Clearing Corporation in enforcement proceedings by the CFTC and SEC. The actions related to the late or incomplete implementation of data security, financial risk management and other policies. Reached settlements totaling $20 million.

Notable practitioners

Elizabeth Gray
win plaudits from clients for her work in enforcement matters before the SEC, CFTC and other bodies. She acts for leading broker-dealers, investment advisers and funds. One of her clients says: "She is really able to grasp issues very quickly and immediately act and put together a plan for a response," going on to highlight her "tremendous credibility with the government and at the SEC."