Fried Frank > Securities Enforcement and Regulation

Securities Enforcement and Regulation

Fried Frank’s Securities Enforcement and Regulation Practice, one of the nation's leading SEC enforcement practices for over two decades, is driven by cutting-edge developments in the financial and commercial markets.  These evolving trends dictate the kinds of disputes in which Fried Frank’s Securities Enforcement and Regulation attorneys represent clients.

We serve public companies and their directors, officers and employees, as well as broker-dealers, investment advisers, hedge funds, accounting and legal professionals and other participants in the securities markets.  We represent companies and individuals in connection with government investigations involving securities and corporate law disputes.  We also counsel public companies and regulated entities on complex securities laws and other regulatory issues and help clients assess and develop compliance programs to guard against future violations of law and corporate policy.

We work closely with our clients, as a team, to gain an insider’s understanding of their business, regulatory and practical needs.  We strive to provide practical advice that will be useful in guiding our clients through what can sometimes be very challenging and uncertain circumstances.

Conducted out of our New York, Washington, DC and London offices, our Securities Enforcement and Regulation Practice interfaces frequently with our White-Collar Criminal Defense, Anti-Corruption Compliance and Enforcement, and Internal Investigations Practices.  We also collaborate across practice areas within the Firm to offer comprehensive representation on client matters, including corporate counseling and governance, commercial litigation, and securities and shareholder litigation.


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