Securities Enforcement

Multinational companies, financial institutions and their executives and principals at the receiving end of the growing risks and complexities of regulatory and white collar criminal laws face not only the distressing experience of an investigation and possible prosecution, but also the potential risk of reputational damage, financial loss, and unwanted exposure. Paul Hastings can help. We have successfully achieved resolutions for numerous high-profile clients—whether serving as counsel in widely publicized white collar cases or discreetly resolving sensitive matters while avoiding publicity. We represent clients in investigations before federal, state and regulatory authorities including the DOJ, SEC, FINRA, CFTC, OFAC, U.S. Attorneys’ offices, and state law enforcement. We also provide as-needed compliance consulting and training on topics that are the focus of law enforcement and regulators.

SEC Roundup Episode 19: Former SEC Commissioner Troy Paredes on the Future of Digital Assets

  • Top 10 in Global Investigation Review’s GIR Top 100

Client Successes

  • Represented investment adviser in SEC investigation of related party transactions, Form ADV disclosures and allegations of common control. No charges filed after lengthy investigation.

  • Represented international investment bank in “dark pool” trading, marketing and disclosure investigation by SEC and NYAG. SEC and NYAG brought charges against similarly situated firms, but not against our client.

  • Represented PE fund adviser in connection with SEC investigation of breach of fiduciary duty and disclosure issues relating to allocation of fees. SEC investigation terminated.

  • Represented investment advisers to mutual fund families in market timing investigations conducted by the SEC and
    N.Y. Attorney General’s Office.

  • Most Impressive Investigations Practice of the Year

    Global Investigations Review 2021

Successfully Navigating Securities Enforcement Actions

We have a strong record of guiding our clients through investigations and enforcement actions pursued by the U.S. SEC, DOJ, FINRA, and other U.S. and overseas regulators. We help secure successful outcomes—both in and out of the courtroom.

  • Washington, DC's White Collar Litigation Practice Group of the Year

    National Law Journal, 2020

Deep Experience, Firsthand Knowledge

  • Our highly skilled team includes prominent alumni of the SEC and DOJ who have the insight and credibility to resolve matters with government agencies swiftly and successfully.

  • We have successfully defended publicly traded corporations and their officers and directors in SEC and DOJ proceedings involving allegations of insider trading, FCPA violations, accounting fraud, and disclosure fraud.

  • We have comprehensive experience representing audit committees in internal investigations.

  • Firm of the Year -- Regulatory & Compliance (International)

    China Law & Practice, 2020

Industry Recognition

  • Recognized among the leading securities litigation practices by The Legal 500 US

  • Ranked among the leading firms for dispute resolution in The American Lawyer’s Litigation Power Rankings

  • 2020 Compliance Team of the Year


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