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Overview

The Securities Enforcement and Compliance Group at Skadden, Arps, Slate, Meagher & Flom LLP ("Skadden") represents public companies, financial services firms, audit firms and their senior management, partners and employees in investigations and enforcement proceedings brought by the SEC and other government agencies, as well as self-regulatory proceedings by the Public Company Accounting Oversight Board (PCAOB) and the Financial Industry Regulatory Authority (FINRA). We also are retained by public company boards, audit committees and special committees in internal investigations in response to allegations of accounting irregularities, foreign payment issues and other misconduct. Together with the firmís White Collar Crime and Securities Litigation Groups, we frequently handle concurrent criminal, civil enforcement and legislative investigations, together with shareholder and derivative litigation.

Lawyers in this group have extensive experience in the regulatory and enforcement issues confronted by all participants in the securities markets, including issuers of securities, public accounting firms, broker dealers, investment companies and investment advisers. Skadden has represented public companies, financial services firms, and their senior executives and board members in some of the most significant SEC and DOJ investigations in the recent past, including Enron Corporation, HealthSouth Corporation, Kmart Corporation, Warnaco Inc., Putnam Investments, Inc., Gateway Computers, Research In Motion, Gemstar and Brocade Communications.

Internal investigations on behalf of boards and board committees of companies and regulated entities also are central to our practice, along with advice on the establishment and implementation of securities law compliance programs and counsel on specific compliance concerns.

Skadden partners in this practice include former senior enforcement officials from the SEC and the DOJ and a former state securities commissioner. Our attorneys have taught at law schools and have written extensively and lectured frequently on securities law issues. We were ranked among the leading firms for Securities Regulation by Chambers USA: Americaís Leading Lawyers for Business 2013.

Hot Topics
03.13.14SEC Charges CR Intrinsic Analyst with Insider Trading
03.12.14SEC Charges Jefferies LLC With Failing to Supervise Its Mortgage-Backed Securities Desk During Financial Crisis
03.12.14FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations
03.11.14SEC Charges Animal Feed Company and Top Executives in China and U.S. With Accounting Fraud
03.10.14SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
03.06.14SEC Charges Five Executives and Finance Professionals Behind Fraudulent Bond Offering by International Law Firm

 
 

 


Litigation
Government Enforcement and White Collar Crime
Anti-Bribery and FCPA Compliance and Defense
Financial Institutions Regulation and Enforcement

 
 
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