Securities & Enforcement
Defending clients from investors & responding to regulators
When you are an officer or employee of your company, or a registered securities professional, and you
- receive a communication from an investor complaining about the company or an investment or threatening litigation
- receive communication from a regulator requesting information or otherwise threatening an inquiry
- receive a complaint naming your company or company board members, officers, employees, or you as individual defendants or respondents
- receive a formal inquiry or complaint from a regulator
- have questions regarding a company's activities and potential regulatory or litigation exposure to the company or you
our team can help answer your questions and develop a comprehensive strategy to respond and resolve the matter.
We help clients
- Determine effective ways to respond to investor and regulatory demands
- Assess cost-effective approaches to resolving investor disputes
- Conduct internal investigations to assess corporate conduct and related risk
- Address the challenges of defending claims in numerous and parallel court and regulatory and self-regulatory jurisdictions
- Address potentially varying defenses for named and un-named parties to litigation and regulatory proceedings
- Adapt to an ever-changing regulatory landscape
- Assess business and reputational risks
Interdisciplinary team and collaborative approach
- Experienced trial lawyers who regularly defend investor claims and address regulatory matters before securities regulators and courts
- Former in-house counsel and compliance officers for broker dealers, investment advisors, REITs and large fund managers
- Former SEC staff
- Seasoned tax, ERISA, regulatory, employment, real estate, and mergers and acquisitions practitioners
Our attorneys provide business-minded, market-experienced, business-oriented legal advice and strategy and have experience in a broad range of securities, shareholder, class action, and complex financial litigation.
Our clients include
- Public and private companies, their boards, including independent directors, corporate officers, and employees
- Banks
- Broker dealers, from large retail to boutique investment banking firms
- Investment advisers
- Investment management firms
- Business development companies
- Hedge funds and private equity funds
- Venture capitalists and venture capital funds
- Real estate funds
- Pension funds, insurance companies, and other institutional investors
- Family offices
- Entrepreneurs
- Managers of large investment funds
- Individual registered securities professionals
Navigate the legal and regulatory landscape, focus on business objectives
With broad industry experience and regulatory and product knowledge, Nelson Mullins offers its clients creative solutions to respond to investor demands and regulatory requirements, and to manage legal and regulatory risks and position your business for long-term success.
Our attorneys are business-minded professionals who solve problems and guide clients to make efficient and informed decisions, including decisions regarding
- Public relations strategy and crisis management – including timing, media approach and content, and the relationship to potential litigation and regulatory matters
- Preventive measures to help forestall or prevent litigation and enforcement proceedings before they arise
- Litigation and enforcement defense – through discovery, preliminary motion practice, settlement negotiation, alternative dispute resolution, and – when necessary – trial and appeal
- Time-sensitive internal investigations
- Utilization of Experts – strategic retention of experts and investigation and examination of opposing experts
- Witness depositions – including preparing witnesses and conducting depositions of adverse and non-party witnesses
- Joint defense strategies – including strategic guidance to clients and co-counsel in joint defense
- Litigation plans and budgets – including strategic litigation plans and budgets to help "right-size" defense of matters
- Litigation preparedness –including guidance to clients to help ensure that you are ready for litigation
Experience
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.
Securities Litigation and Arbitration
- Represented Fortune 50 bank and investigated allegations of executive misconduct from government agencies and private plaintiffs related to mortgage-backed securities
- Represented publicly-traded companies, audit committees, directors, former directors and officers in securities fraud class actions, regulatory inquiries, and criminal and civil lawsuits brought by the SEC, DOJ, SOX whistleblowers, and various state agencies
- Represented clients in resolving multiple "merger cases" on behalf of both targeting and acquiring boards and their officers and committees
- Represented national broker dealer in defense of multiple arbitrations arising from alleged Ponzi schemes
- Represented national broker dealer in parallel civil court, arbitration, and criminal proceedings arising from alleged elder financial abuse
- Represented broker dealers and related registered representatives in numerous FINRA arbitrations involving allegations of fraud
- Represented broker dealer and related non-securities banking affiliates and individuals in state court jury trial and related appeal
- Represented firms, individuals, and groups of individuals with regard to securities-related employment and independent contractor relationships between and among broker dealers or investment advisers and individuals and litigation arising from those relationships, including raiding claims
Regulatory Enforcement Defense
- Represented individuals, broker dealers, investment advisers, and other companies in negotiating consent orders or other resolutions with state and federal securities regulators and SROs
- Represented individuals, broker dealers, investment advisers, and other companies in connection with preliminary inquiries by state and federal securities regulators and resolved without further proceedings
- Represented broker dealers and related individuals in state, federal, and FINRA inquiries related to alleged Ponzi schemes involving former registered representatives
- Represented financial institutions and their boards and holding companies in inquiries from the FDIC, OCC, OTS, and Federal Reserve regarding various regulatory and operational matters, including allegations of irregular and unsound banking practices
- Conducted privileged investigations of information security breaches and other systems intrusions and insider issues, while representing the organizations affected by those incidents before state attorneys general and federal regulators
- Represented firms and individuals with regard to allegations of insider trading brought by the SEC
We help clients
- Determine effective ways to respond to investor and regulatory demands
- Assess cost-effective approaches to resolving investor disputes
- Conduct internal investigations to assess corporate conduct and related risk
- Address the challenges of defending claims in numerous and parallel court and regulatory and self-regulatory jurisdictions
- Address potentially varying defenses for named and un-named parties to litigation and regulatory proceedings
- Adapt to an ever-changing regulatory landscape
- Assess business and reputational risks
Interdisciplinary team and collaborative approach
- Experienced trial lawyers who regularly defend investor claims and address regulatory matters before securities regulators and courts
- Former in-house counsel and compliance officers for broker dealers, investment advisors, REITs and large fund managers
- Former SEC staff
- Seasoned tax, ERISA, regulatory, employment, real estate, and mergers and acquisitions practitioners
Our attorneys provide business-minded, market-experienced, business-oriented legal advice and strategy and have experience in a broad range of securities, shareholder, class action, and complex financial litigation.
Our clients include
- Public and private companies, their boards, including independent directors, corporate officers, and employees
- Banks
- Broker dealers, from large retail to boutique investment banking firms
- Investment advisers
- Investment management firms
- Business development companies
- Hedge funds and private equity funds
- Venture capitalists and venture capital funds
- Real estate funds
- Pension funds, insurance companies, and other institutional investors
- Family offices
- Entrepreneurs
- Managers of large investment funds
- Individual registered securities professionals
Navigate the legal and regulatory landscape, focus on business objectives
With broad industry experience and regulatory and product knowledge, Nelson Mullins offers its clients creative solutions to respond to investor demands and regulatory requirements, and to manage legal and regulatory risks and position your business for long-term success.
Our attorneys are business-minded professionals who solve problems and guide clients to make efficient and informed decisions, including decisions regarding
- Public relations strategy and crisis management – including timing, media approach and content, and the relationship to potential litigation and regulatory matters
- Preventive measures to help forestall or prevent litigation and enforcement proceedings before they arise
- Litigation and enforcement defense – through discovery, preliminary motion practice, settlement negotiation, alternative dispute resolution, and – when necessary – trial and appeal
- Time-sensitive internal investigations
- Utilization of Experts – strategic retention of experts and investigation and examination of opposing experts
- Witness depositions – including preparing witnesses and conducting depositions of adverse and non-party witnesses
- Joint defense strategies – including strategic guidance to clients and co-counsel in joint defense
- Litigation plans and budgets – including strategic litigation plans and budgets to help "right-size" defense of matters
- Litigation preparedness –including guidance to clients to help ensure that you are ready for litigation
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.
Securities Litigation and Arbitration
- Represented Fortune 50 bank and investigated allegations of executive misconduct from government agencies and private plaintiffs related to mortgage-backed securities
- Represented publicly-traded companies, audit committees, directors, former directors and officers in securities fraud class actions, regulatory inquiries, and criminal and civil lawsuits brought by the SEC, DOJ, SOX whistleblowers, and various state agencies
- Represented clients in resolving multiple "merger cases" on behalf of both targeting and acquiring boards and their officers and committees
- Represented national broker dealer in defense of multiple arbitrations arising from alleged Ponzi schemes
- Represented national broker dealer in parallel civil court, arbitration, and criminal proceedings arising from alleged elder financial abuse
- Represented broker dealers and related registered representatives in numerous FINRA arbitrations involving allegations of fraud
- Represented broker dealer and related non-securities banking affiliates and individuals in state court jury trial and related appeal
- Represented firms, individuals, and groups of individuals with regard to securities-related employment and independent contractor relationships between and among broker dealers or investment advisers and individuals and litigation arising from those relationships, including raiding claims
Regulatory Enforcement Defense
- Represented individuals, broker dealers, investment advisers, and other companies in negotiating consent orders or other resolutions with state and federal securities regulators and SROs
- Represented individuals, broker dealers, investment advisers, and other companies in connection with preliminary inquiries by state and federal securities regulators and resolved without further proceedings
- Represented broker dealers and related individuals in state, federal, and FINRA inquiries related to alleged Ponzi schemes involving former registered representatives
- Represented financial institutions and their boards and holding companies in inquiries from the FDIC, OCC, OTS, and Federal Reserve regarding various regulatory and operational matters, including allegations of irregular and unsound banking practices
- Conducted privileged investigations of information security breaches and other systems intrusions and insider issues, while representing the organizations affected by those incidents before state attorneys general and federal regulators
- Represented firms and individuals with regard to allegations of insider trading brought by the SEC
- Practical business mindset and experience combined with deep securities and related regulatory knowledge
- A reasoned approach to litigation strategy that begins with expectations and the client's desired outcome
- Extensive trial, arbitration, and appellate experience nationally
- Multi-disciplinary team
