Corporate Governance, SEC Defense and Investigations

Our attorneys, including former federal and state prosecutors, have extensive experience in both governmental and internal investigations. We have substantial regulatory experience, along with related experience in class action litigation and corporate governance, which enables our lawyers to handle these investigations efficiently and thoroughly. We are able to provide advice on how the investigation will affect subsequent criminal, civil or regulatory litigation.

Our lawyers also counsel clients on how to establish and implement corporate governance programs, and how to improve business ethics compliance programs to avoid future risks. As part of our compliance practice, we are well-versed in crisis management and advising boards and individual directors with respect to their legal obligations and duties as directors. Our attorneys have worked closely with luminaries from the legal, academic, accounting and investment banking professions in investigating ethics and the “gatekeeping professions” in the wake of Enron and other scandals.

We have experience representing corporations, their officers and directors in SEC investigations and have assisted management and boards of directors in performing internal investigations, often advising clients on compliance and preventative measures. We also have represented banks and Fortune 500 companies in internal investigations involving allegations of conflict on interest, insider trading, and improper compliance procedures. We represented major companies in connection with serious accounting investigations, including allegations of securities fraud, reserve manipulation, insider trading and revenue recognition issues.

Related to investigations and corporate governance, our attorneys have extensive experience in defending complex multi-district class actions involving allegations of securities fraud, accounting irregularities, and breaches of fiduciary duties. We have represented a major accounting firm in several class actions involving allegations of securities fraud. Our attorneys have been successful in obtaining dismissals of several putative class action cases against corporations. We also have substantial trial experience, and we have obtained victories for our clients after trial, including cases involving issues of fiduciary duty to creditors and claims of alter ego and fraud. Our attorneys also represented a prominent investment bank in connection with its defense of several hundred class action cases relating to how it allocated among its customers the opportunity to acquire shares of stock in initial public offerings.