SEC Enforcement
Navigating today’s complex regulatory climate requires strategic thinking aimed at creatively and efficiently defending and, where appropriate, resolving securities investigations by the SEC, FINRA, NYSE Regulation state Attorneys General and other regulators. We bring to bear extensive experience and an unwavering commitment to client service. Our national practice includes seasoned SEC enforcement practitioners in all of our domestic offices, including a former Associate Director of the SEC’s Enforcement Division, a former Co-Head of Enforcement for the SEC’s New York regional office and a former Senior Trial Counsel from the SEC’s Los Angeles regional office. By carefully assessing each case, we mount effective responses to any kind of securities regulatory inquiry. Our adversarial skills cover the full spectrum of securities enforcement matters, from defending investigations to litigating unsettled cases in federal court or before administrative and regulatory tribunals. In appropriate cases, we team up with other Sidley practitioners, such as the firm’s experienced teams of securities regulatory lawyers and white collar criminal litigators.
We offer securities regulatory solutions based on experience, thoughtful risk assessment and close client collaboration, often in a crisis setting. Our clients include public companies, major financial services conglomerates, broker-dealers, Audit Committees, accounting firms, investment banks and hedge funds, as well as individual directors, officers and employees. In recent years, we have served as securities enforcement counsel to many of the largest financial services firms and Fortune 500 public companies, including Morgan Stanley & Co. Incorporated; Raytheon Company; Tyson Foods, Inc.; China Life Insurance Company Ltd.; Kimberly Clark Corporation; and Tribune Company, among others.
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