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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. 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. Able to handle large, cross-border investigations, drawing on notable experience in working with foreign regulators. Particularly adept at handling enforcement actions for high-profile investment managers.

Work Highlights

Provided by WilmerHale

  • WilmerHale represented the former CEO of Alameda Research, Caroline Ellison, in connection with a criminal investigation by the US Attorney's Office for the Southern District of New York and investigations by the SEC and CFTC into the collapse of FTX, Alameda Research and Sam Bankman-Fried.

Strengths

Provided by Chambers

"WilmerHale is exceptional and has a really strong bench in the SEC enforcement space."

Securities: Regulation: Enforcement respondent
USA

"The firm practices at the gold standard in the investigations space and brings expertise on niche topics."

Securities: Regulation: Enforcement respondent
USA

"The team provides both substantive and strategic advice and is always client-focused."

Securities: Regulation: Enforcement respondent
USA

"The firm brings practical perspectives and experience."

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.
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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.
"She is the go-to for hard questions and there is no substitute for the depth of experience and judgment that she brings to the table."
"Meredith is very experienced."
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Stephanie Avakian
1
Stephanie Avakian
1
Band 1
As former co-director of the SEC's Division of Enforcement, Stephanie Avakian offers notable expertise to private clients involved in a diverse array of securities enforcement matters.
"She brings her strong relationships and experience to bear in high-stakes matters."
"Her work ethic and vision is valuable."
"Stephanie brings a ton of knowledge about how the SEC operates."
"She is a very strong individual and leader in this space."
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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.
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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 extremely knowledgeable and a very thoughtful, service-oriented lawyer."
"Lori is incredibly accessible and knowledgeable. She is willing to pivot and her advocacy is phenomenal."
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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.
"Christopher has the right touch, analysis and brains. He is exceptional."
"He is insightful, commercial and a brilliant litigation strategist."
"He is a very strong practitioner."
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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.
"Daniel is so experienced, incredibly smart and always delivers under the most challenging of circumstances."
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Ranked Lawyers at
WilmerHale

Provided by Chambers
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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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Securities: Regulation: Enforcement
William McLucas
S
William McLucas
S
Senior Statespeople
View Profile
Stephanie Avakian
1
Stephanie Avakian
1
Band 1
View Profile
Lori Martin
3
Lori Martin
3
Band 3
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Christopher Davies
5
Christopher Davies
5
Band 5
View Profile
Daniel Schubert
5
Daniel Schubert
5
Band 5
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