SEC Enforcement & Litigation

Practice Area

SEC Enforcement & Litigation

Under the leadership of an accomplished former U.S. Securities and Exchange Commission (SEC) litigator and trial attorney, the lawyers who comprise Lewis Brisbois’ SEC Enforcement & Litigation Practice assist a diverse client base across a broad range of matters. Leveraging vast experience with federal, state, and international securities laws, investigations, enforcement, and litigation, as well as deep knowledge of the SEC’s and other agencies’ internal processes, these lawyers regularly achieve our clients’ business objectives.

Our SEC Enforcement & Litigation Practice guides clients through complex enforcement actions brought by securities and other financial services regulators, internal investigations, and legislative inquiries. We work closely with companies at every stage to reach expedient, efficient, and favorable resolutions that will serve clients’ best interests. We also offer advisory services to help clients ensure that their businesses are, and remain, in compliance with ever-evolving federal laws. Moreover, with a long track record of successfully representing clients in all phases of litigation, trials, appeals, administrative proceedings, and arbitrations, our team stands ready to zealously defend our clients through trial.

In addition, the attorneys in our SEC Enforcement & Litigation Practice regularly collaborate with our Corporate Practice, Government Investigations & White Collar Defense Practice, Data Privacy & Cybersecurity Practice, Sustainability and Environmental, Social, and Governance (ESG) Practice, Complex Business & Commercial Litigation Practice, and others. This collaboration – which occurs across Lewis Brisbois’ nationwide network – allows clients to access the full range of proficiencies and deep experience that our attorneys offer.

Specifically, Lewis Brisbois’ SEC Enforcement & Litigation attorneys are well-positioned to help clients navigate the following types of matters:

  1. Regulatory Enforcement Investigations and Actions: Provide complete, cradle-to-grave strategic, advisory, investigatory, litigation, and related legal services to the full range of entities (e.g., public companies, broker-dealers, investment advisers, accountants, attorneys, wealth managers, mutual funds, hedge funds, private equity organizations) facing regulatory scrutiny, inquiries, investigations, subpoenas, and disciplinary actions instituted by the SEC Enforcement Division, other SEC Divisions and Offices, the Department of Justice, other Federal regulatory agencies (e.g., CFTC, CFPB, FTC, The Fed, Treasury), state attorneys general and state financial and securities regulators, international financial and securities regulators, as well as self-regulatory organizations (e.g., PCAOB, FINRA, MSRB, CBT, and Exchanges).
  2. Internal Investigations: In coordination with the Government Investigations & White Collar Defense Practice, design, coordinate, and implement internal investigations aimed at deterring, detecting, and addressing suspected violations of federal, state, international, and SRO rules and regulations, including FCPA violations, bribery, corruption, self-dealing, conflicts of interest, insider trading, embezzlement, theft, and other types of securities, financial fraud, and corporate governance issues.
  3. Compliance Programs: Design, coordinate, and implement internal compliance, reporting, and ethics programs, practices, procedures, and guidelines established to comply with, prevent, detect, and deter violations of financial rules and regulations, including FCPA and insider trading prevention programs, Rule 10b5-1 plans, and whistleblower reporting procedures.
  4. SEC Financial Disclosures: Provide strategic and legal analysis and advice concerning SEC reporting requirements, including financial accounting (GAAP/PCAOB), MD&A, and new and rapidly evolving topics including ESG, crypto, executive compensation, and cybersecurity.
  5. ESG Reporting: Provide strategic and legal analysis and counsel concerning ESG tracking, analysis, and reporting.
  6. Crypto Currency: Provide strategic and legal analysis and counsel concerning the rapidly-evolving world of crypto currency and exchanges.
  7. Cybersecurity: In coordination with the Data Privacy & Cybersecurity Practice, provide strategic and legal analysis concerning reporting requirements and disclosures involving cybersecurity prevention and detection.
  8. Consultative Litigation Support: Drawing upon extensive litigation experience, including within the SEC, provide advice and support for clients seeking to bring and defend claims associated with securities laws.
  9. Congressional Investigations: In coordination with the Government Relations Practice, represent clients facing inquiries, investigations, and hearings brought by Senate and House committees and subcommittees.


Related News, Publications & Events