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