SEC Enforcement Defense
Securities litigation remains an ongoing threat to businesses and financial institutions. Our SEC Enforcement group is composed of lawyers – including former senior members of the US Securities and Exchange Commission (SEC) Division of Enforcement – who possess substantial experience covering the full spectrum of securities enforcement activity. Our lawyers are knowledgeable about the SEC as an agency, including its rules, practices and customs, and maintain excellent relations with staff of the Enforcement Division and Office of General Counsel.
- John P. Flannery, the former chief investment officer of State Street Global Advisors, with complete exoneration of all charges brought by the SEC, alleging a host of violations arising from communications to investors during the subprime mortgage crisis.
- A global health care manufacturer with its internal investigations overseas regarding issues of potential violations of the FCPA and UK Bribery Act, following a subpoena from the SEC.
- An affiliated investment adviser, broker-dealer and the CEO and controlling shareholder in an SEC investigation and five related private civil actions arising from allegations of the misappropriation of client assets by a registered representative of the broker-dealer. We developed a strategy for managing the SEC investigation and the civil litigation, all of which were able to resolve successfully, allowing the companies to remain in business.
White-Collar Defense & Government Investigations
Anti-Corruption Investigations & Compliance
Litigation & Dispute Resolution
Securities Litigation
Class Action
ERISA Litigation
Insurance Litigation & Counseling
Private Client Disputes
Supreme Court & Appellate Litigation
Accounting & Consulting Services

Anti-Corruption Investigations & Compliance
Anti-Corruption Investigations & Compliance
Effective anticorruption compliance is critical to any company operating internationally. We regularly conduct internal investigations of reported concerns under the Foreign Corrupt Practices Act (FCPA) and other anti-bribery laws to determine the veracity of allegations and to advise companies on responding effectively, including taking steps to reduce opportunities for future misconduct. We also defend companies and individuals in government enforcement and regulatory investigations by authorities in the United States and other countries.
Our team of lawyers experienced in investigations and defense has successfully represented clients including the following:
- A Fortune 100 telecommunications company in defense and settlement, creating FCPA precedent, of an SEC and DOJ investigation arising from the Middle East. This matter involved all aspects of the FCPA, including alleged payments to foreign officials, adequacy of books and records, and the presence of internal controls.
- The chairman of the board of a major international pharmaceutical company in securing dismissal against allegations of FCPA violations in making payments to doctors employed by state-owned hospitals in Taiwan, Latin America and Europe. The dismissal of claims included related securities class action, an Employee Retirement Income Security Act (ERISA) class action, and a shareholder derivative suit arising from the allegations, and avoided criminal prosecution.
- A US health care corporation, with operations in India, with conducting an FCPA internal investigation and implementing corrective action.
White-Collar Defense & Government Investigations
SEC Enforcement Defense

White-Collar Defense & Government Investigations
White-Collar Defense & Government Investigations
Government investigations and enforcement actions are among the most consequential matters a company or individual can face – they can be detrimental to your business, leadership, and reputation. From prevention through defense, our lawyers help you navigate government scrutiny, partnering with you to manage risk in high-stakes investigations, enforcement actions, and parallel proceedings.
Our white-collar defense and government investigations team includes dozens of former senior officials from key US enforcement agencies, including the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Federal Trade Commission (FTC), and the Department of Health and Human Services (HHS). We instinctively understand how these agencies operate, allowing us to anticipate government strategies and shape yours accordingly.