SEC Enforcement
Sidley’s SEC Enforcement group defends clients in securities investigations, enforcement actions, and litigation by the SEC, FINRA, state Attorneys General, criminal authorities and other regulators. We offer securities regulatory solutions based on experience, thoughtful risk assessment and close client collaboration, often in a crisis setting. Our clients include domestic and foreign issuers, major financial services conglomerates, broker-dealers, audit committees, accounting firms, investment banks, investment advisers, including hedge fund managers, and self-regulatory organizations, 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, Fortune 500 public companies, and self-regulatory organizations.
We bring to bear extensive experience and an unwavering commitment to client service. Our national practice includes seasoned U.S. Securities and Exchange Commission’s (SEC) enforcement practitioners in all of our major 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. In appropriate cases, we team up with other Sidley practitioners to represent and advise clients on the full range of investigative, regulatory and strategic issues that arise in securities enforcement and related matters. For example, we often work collaboratively with experienced lawyers in our Securities and Futures Regulatory and Investment Funds, Advisers and Derivatives groups in matters involving technical securities regulatory and trading issues. We also work closely with lawyers in the firm’s White Collar and Securities Litigation groups, particularly when there are parallel criminal proceedings and private civil litigation.
Sidley’s SEC Enforcement group is recognized for its experience, skill, and record of success. The firm was named as “Law Firm of the Year” in 2011 for its Securities Regulation practices (
U.S.News Best Lawyers 2011/2012). It also has been nationally ranked among U.S. law firms for Securities in
Chambers USA, which in 2011 noted the firm’s “well-regarded enforcement practice with a considerable depth of resources” (
Chambers USA 2011).
Chambers USA has also acknowledged Sidley’s SEC Enforcement group’s work on behalf of clients in Asia, noting in 2011 that “[t]he team has expanded its profile in the Asian market in recent years, representing numerous Chinese issuers and acting in cases relating to Japanese business operations” (
Chambers USA 2011).
By carefully assessing each case, we mount effective responses to all types of securities regulatory inquiries. Our adversarial skills cover the full spectrum of securities enforcement matters, from defending investigations to litigating cases in federal court or before administrative and regulatory tribunals.
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