Arent Fox's White Collar team has attorneys with decades of experience in securities and enforcement litigation. They include a number of former SEC and DOJ attorneys. They regularly represent companies, investment advisors, directors and officers, professional advisors, and individuals in connection with class action securities litigation; shareholder derivative litigation; investigations and prosecutions involving various securities, commodities, investments; and corporate law matters.
Our experience includes investigations and prosecutions by governmental entities (e.g., the SEC, DOJ, US Commodity Futures Trading Commission, various state attorneys general, and state securities regulators), self-regulatory organizations (e.g., the Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE)), as well as internal investigations at the request of corporate boards, audit and other special board committees, and general counsels. These engagements include such substantive allegations as insider trading, market manipulation, various fraudulent schemes, improper accounting, disclosure violations, municipal pay-to-play schemes, brokerage and investment advisor compliance issues, and compliance with the Foreign Corrupt Practices Act (FCPA) and other anti-corruption laws like the UK Bribery Act.
Increasingly, such matters are transnational, both in their underlying facts and the coordinated interests of international law enforcement/regulatory authorities. These matters also often involve the additional complexity of addressing parallel administrative proceedings and private securities litigations, while remaining focused on our clients' critical relationships with their independent auditors, liability carriers, and reputational concerns with stakeholders and the media. We assist our clients in addressing all these multi-layered inquiries with strategies aimed at coherent, global resolutions. We carefully tailor these strategies to our clients' unique circumstances and needs, and our instructions may range from aggressive litigation to cooperation with government investigations resulting in complex settlements.
The group also counsels on various securities law and regulatory issues and assists in the development of compliance programs designed to address securities and related regulations such as the Sarbanes-Oxley Act and the FCPA. The group practices out of our Washington DC, New York, and Los Angeles offices and works closely with the other members of our White Collar and Investigations practice.
Recent SEC Matters
- Representation of employee of a Fortune 500 oil and gas service company in joint SEC and DOJ FCPA investigation involving Africa and the Middle East
- FCPA due diligence for Fortune 500 oil and gas service related companies worldwide
- FCPA due diligence for Fortune 500 insurance companies related to acquisitions
- Representation of officers and outside advisers in transnational investigations of corporate bribery at Global 100 companies
Internal Investigation/SEC investigation
- Representation of a CEO in an internal investigation and SEC investigation of accounting issues
Stock Option Investigations
- Representation of multiple individuals in SEC stock option investigations
- Represented regional stock option exchange in SEC investigation of trading practices
- Representation of regional stock exchange in SEC investigation of specialist trading practices
Insider Trading Investigation
- Representation of former hedge fund manager in multiple SEC insider trading investigations
- Representation of domestic and foreign companies in SEC and DOJ investigations
Securities Class Action
- Representation of biotech company in securities class action