Proskauer’s Securities Enforcement Group represents regulated entities, asset managers, investment funds, and executives in regulatory investigations and enforcement proceedings before the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Public Company Accounting Oversight Board (PCAOB), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), and other federal and state regulators. Our team includes former senior members of the SEC’s Division of Enforcement and former federal prosecutors with significant experience in securities-related matters. We advise clients on complex securities issues, evolving regulatory requirements, and compliance strategies designed to mitigate risk and reduce the likelihood of enforcement actions. While we regularly achieve favorable negotiated resolutions, we are fully prepared to litigate when circumstances require.
Our close collaboration with Proskauer’s investment management practice gives us deep insight into the issues facing asset managers, investment funds, and their investors. We counsel clients on high-stakes enforcement matters, drawing on the experience of lawyers across disciplines and jurisdictions. Collectively, our team has decades of experience handling SEC investigations and enforcement matters in both public service and private practice, providing valuable perspective on regulatory priorities and enforcement approaches.
When potential misconduct is alleged or suspected, clients turn to us to conduct internal investigations and assess potential exposure. We work closely with colleagues across the Firm, including our Securities Litigation, Whistleblowing & Retaliation, and Employment Litigation teams, to identify issues early, implement appropriate remedial measures, and help clients navigate regulatory scrutiny. We also assist clients during regulatory examinations, helping to address concerns before they escalate.
We resolve highly sensitive matters with discretion and, whenever possible, resolve them outside the public spotlight.
