Polsinelli’s regulatory enforcement and litigation attorneys represent clients before the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA) state securities regulators and the offices of state attorneys general in civil and criminal matters. We represent public companies, broker-dealers, registered representatives, investment advisory firms, investment advisers, law firms, accounting firms, boards of directors and their committees, officers and directors during investigations and proceedings before agencies and in federal and state courts across the country.
Our lawyers have represented clients during investigations and proceedings related to:
- Allegations of unregistered securities sales and securities fraud
- Insider trading
- Mutual fund market timing and late trading
- SEC disclosure and reporting issue
- Municipal finance
- Accounting irregularities and restated financial statements
- Valuation
- Variable annuities
- Unsuitable recommendations
- Unauthorized trading
- Supervisory deficiencies
- Misappropriation of client funds
We have extensive experience representing clients in SEC investigations and enforcement actions, along with criminal investigations and prosecutions. Private plaintiffs often respond to regulatory investigations and proceedings by filing their own class and other civil actions seeking damages. Our attorneys have served as defense counsel in these class and civil actions and are adept at addressing the unique challenges created by parallel regulatory and civil proceedings and criminal investigations and prosecutions.
In litigation, our attorneys have substantial experience in a broad diversity of concerns in state and federal courts, including:
- Securities class actions
- Activist shareholder cases
- Merger and acquisition lawsuits
- Proxy contests
- Tender offers
- Derivative suits
- Director and officer duties and liabilities
- Indemnification of directors and officers
- Minority shareholder oppression suits
- Securities broker-dealer litigation and compliance
We routinely conduct internal investigations on behalf of boards of directors, audit committees and special committees. We have also represented individual officers, directors and employees during these investigations. Our attorneys work with clients to analyze the results of an internal investigation, and use our experience and judgment to recommend a proper course of action, including internal remedial actions and disclosure to government agencies.