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. In 2017, our team was awarded “Litigator of the Week” by The American Lawyer for its successful defense in a high-profile case brought by the SEC against the head of regulatory reporting at an investment bank.
 
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.
 
Selected Representations
  • Achieved favorable settlement for William F. Tirrell, the Managing Director and former Head of Regulatory Reporting at Bank of America, in an SEC enforcement action relating to compliance with rules on net capital requirements and the protection of client funds.
  • Chairman of a public company in connection with an SEC stock option backdating investigation.
  • Multinational pharmaceutical company in connection with an internal investigation spanning ten countries regarding alleged violations of the FCPA, UK Bribery Act, and other analogous local laws.
  • Former President and CEO of Fannie Mae in connection with SEC and Office of Federal Housing Enterprise Oversight investigations and parallel civil litigation.
  • Former Citi director in connection with an SEC investigation into potential violations of federal securities laws related to a foreign exchange trading strategy marketed to high net worth individuals.
  • Hedge funds at trial defending against insider trading allegations.
  • Managing director of an investment bank in connection with parallel DOJ, SEC, and FINRA investigations relating to alleged fraudulent trading practices in the RMBS market.
  • Global investment bank in an SEC investigation regarding margin rule compliance.
  • Audit committee of a market-leading data analytics company investigating possible accounting and other improprieties, including alleged complicity by senior management, and a related SEC investigation into potential securities fraud.
  • A real estate developer in connection with an SEC investigation concerning foreign investment and EB-5 projects.
  • Counsel to a name partner in a Lima, Peru law firm in connection with criminal insider trading and obstruction of justice charges by the SEC.

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