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WilmerHale
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Securities: Regulation: Enforcement

About

Provided by WilmerHale

WilmerHale is among the leading securities enforcement defense firms in the world. We represent clients in a wide range of investigations initiated by the US Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the Public Company Accounting Oversight Board (PCAOB), the Consumer Financial Protection Bureau (CFPB), the UK Financial Conduct Authority (FCA), the UK Serious Fraud Office (SFO), the United States Congress, state securities regulators and attorneys general, state insurance regulators, and other government agencies. Our team has guided major financial institutions, public and private companies, hedge funds, accounting firms, investment advisers, and individuals through the nuances of investigations, hearings, litigation and the enforcement process. We have achieved favorable resolutions at every stage—in informal inquiries, advocacy before agency decisionmakers, and cases that have gone to trial.


To learn more, please visit: https://www.wilmerhale.com/en/solutions/securities-enforcement

Chambers Review

Provided by Chambers

Securities: Regulation: Enforcement - USA - Nationwide

1
Band 1

What the Team is Known For

WilmerHale is a market-leading practice in the securities regulatory space, representing top-tier clients on everything from high stakes enforcement proceedings to day-to-day compliance and corporate governance. The group houses a deep bench of former SEC and government agency officials well equipped to counsel financial institutions, accounting firms and major corporates on all manner of investigations and compliance matters. It is able to handle large, cross-border investigations, drawing on notable experience in working with foreign regulators, and is particularly adept at handling enforcement actions for high profile investment managers.

Work Highlights

  • WilmerHale represented Vanguard in an investigation by the SEC alleging violations of the Advisers Act, Securities Act and the Investment Company Act in relation to disclosures around retirement funds.

Strengths

Provided by Chambers

WilmerHale's securities team is second to none showcasing deep knowledge and a broad skill set consistently providing precise, expert, effective guidance in navigating intricate regulatory landscapes. They are incredibly knowledgeable about the securities market and have a deep understanding of the law, enforcement actions and legal precedent.

Securities: Regulation: Enforcement respondent
USA

Wilmer Hale are thorough, experienced and steady at tackling difficult matters. They can anticipate problems and bring down the temperature in any conversation when the stakes are high.

Securities: Regulation: Enforcement respondent
USA

WilmerHale offer expertise, relationships and strategic thinking. They are highly experienced and use their diverse skillsets and backgrounds to come the best solution.

Securities: Regulation: Enforcement respondent
USA

The WilmerHale team has a deep bench of premier experienced partners, excellent associates and coverage in all the key areas.

Securities: Regulation: Enforcement respondent
USA

This WilmerHale team have set the standard for the industry for enforcement work in the space. They are super strategic and focused on the details providing a world-class service.

Securities: Regulation: Enforcement respondent
USA

Notable Practitioners

Provided by Chambers

William McLucas
S
William McLucas
S
Senior Statespeople
William McLucas receives plaudits for his expert handling of SEC enforcement actions and investigations. He regularly acts for major public companies, as well as leading banks and mutual funds.

Bill is an icon in the Bar. He has a very robust practice.

Bill is substantively talented and very good with clients.

Bill is a pioneer of the modern securities defense practice.

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Meredith Cross
1
Meredith Cross
1
Band 1
Meredith Cross advises a range of public company clients on corporate finance and corporate governance issues involving SEC regulations.

We go to Meredith for the toughest issues and those that intersect in different legal areas. She does an incredible job of wading through very complex facts and making them really simple.

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Lillian Brown
2
Lillian Brown
2
Band 2
Lillian Brown is very well regarded for advising public companies on matters such as SEC reporting and disclosure, as well as corporate governance mandates.

Lillian is an expert on the SEC no-action letter process.

Lillian's former SEC experience is impressive.

Lily is very practical and provides great experience and insight from her time at the SEC.

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Lori Martin
3
Lori Martin
3
Band 3
Lori Martin is highly respected for her work representing asset managers and investment funds in regulatory proceedings.

Lori is fantastic and I love the way she deals with regulators. She is smart, hard-working and everything you want in a lawyer.

No one puts on the in-house counsel hat like Lori does. She is very good at internal strategic decisions.

Lori is incredibly smart, knows how to successfully tell a story to the SEC and given her in-house experience understands how the business works too.

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Christopher Davies
5
Christopher Davies
5
Band 5
Christopher Davies specializes in handling large, multijurisdictional regulatory proceedings and investigations. He frequently acts for major accounting firms and public companies before the SEC, DOJ and foreign regulators.

Chris understands our business realities well. He is incredibly responsive and client-focused.

Chris is able to draw upon his experience readily. He is more like a partner to us in our major matters than just an adviser.

Chris is an excellent partner and trusted adviser, with deep expertise in data analytics and investigations. He is highly responsive, brings strong strategic judgment to complex matters and consistently goes above and beyond for clients.

Chris is a skilled and smart attorney in securities regulation.

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Daniel Schubert
5
Daniel Schubert
5
Band 5
Daniel Schubert is noted for his experience representing both the financial services and accounting sectors as well as institutions and individuals in complex SEC investigations and enforcement matters.

Dan is particularly well suited for significant and complex matters because of his process-oriented approach. He is super responsive and an excellent presenter to the government.

Dan is a wise counselor with a deep understanding of financial institutions. He issue spots and thinks critically through strategic considerations.

Dan is excellent and business practical. He is very good at communicating with clients and breaks down issues.

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Alan Wilson
U
Alan Wilson
U
Up and Coming

Alan Wilson earns excellent praise for his fast-emerging reputation advising clients on their SEC disclosure and reporting obligations as well as internal and government investigations.

Alan is an expert on SEC reporting and disclosure requirements, proxy and annual meeting matters and shareholder matters. He is always available, has a great demeanor and distills complex issues in a way business teams truly appreciate.

Alan is a creative problem-solver.

Alan is a really excellent lawyer producing top quality work.

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Ranked Lawyers at
WilmerHale

Provided by Chambers
Filter by
Band

USA - Nationwide

Securities: Regulation: Advisory
Meredith Cross
1
Meredith Cross
1
Band 1
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Lillian Brown
2
Lillian Brown
2
Band 2
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Alan Wilson
U
Alan Wilson
U
Up and Coming
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Securities: Regulation: Enforcement
William McLucas
S
William McLucas
S
Senior Statespeople
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Lori Martin
3
Lori Martin
3
Band 3
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Christopher Davies
5
Christopher Davies
5
Band 5
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Daniel Schubert
5
Daniel Schubert
5
Band 5
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