Proskauer’s Securities Enforcement Group has extensive experience representing regulated entities and executives in all aspects of regulatory investigations and enforcement proceedings before the SEC, DOJ, PCAOB, FINRA, CFTC, CFPB and other federal and state regulators.  Our deep bench of distinguished lawyers includes former senior members of the SEC’s Enforcement Division and federal prosecutors who specialize in criminal enforcement of the securities law. We provide sophisticated legal advice on complex securities matters and increasingly aggressive regulatory rules to ensure innovative compliance strategies, and help avoid enforcement proceedings altogether. We are adept at negotiating favorable resolutions but are not hesitant to litigate against regulatory agencies when necessary.

Our close collaboration with our asset management practice provides us with a strong platform to effectively handle disputes that are unique to asset managers, investment funds and their investors. Our deep understanding of the asset management industry enables us to excel at counseling asset managers on a broad range of high-stakes enforcement matters, working closely with subject-matter experts worldwide. Collectively, we have decades of experience in public and private practice handling hundreds of SEC regulatory matters, which gives us unparalleled insight into the regulators’ enforcement priorities and approaches. 

When potential misconduct is alleged or suspected, clients call upon us to conduct comprehensive internal investigations as the first steps in managing potential exposure. We leverage our firm’s unparalleled expertise in Securities Litigation, Whistleblowing & Retaliation and Employment Litigation to head off problems before they arise by taking remedial action. Moreover, we assist clients during regulatory exams, helping to limit the chances that an examination escalates.

We resolve highly sensitive matters discreetly and, whenever possible, out of the public eye.