K&L Gates has one of the largest and most geographically diverse securities enforcement practices of any law firm.
Our securities enforcement lawyers include more than a dozen former staffers from the Securities and Exchange Commission (SEC), including some former senior officials, a number of former prosecutors from the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), and the Commodity Futures Trading Commission (CFTC), as well as former heads of state securities regulators and former staff members from the offices of state attorneys general. In the United Kingdom, our lawyers represent clients before the Financial Conduct Authority (and its predecessor, the Financial Services Authority), the London Stock Exchange, and the Serious Fraud Office. K&L Gates lawyers have also represented clients before securities regulators in Germany, France, and Hong Kong.
Our securities enforcement team represents public companies, broker-dealers, investment advisers, investment companies, private funds, accounting firms, law firms, officers, and boards of directors. We have been involved in virtually every significant enforcement initiative during the past 40 years. We have represented clients involved in investigations or proceedings related to Enron, WorldCom, insider trading, the recent spate of public corruption matters in Washington, D.C., mutual fund market timing or late trading, analyst research conflicts, options backdating, auction rate securities, the “junk bond” crisis, conflicts of interests, subprime lending, corporate reporting, mortgage foreclosures, Madoff-related matters, and investigations concerning municipal finance and the marketing or trading of municipal securities and other public debt, among other issues.