Securities and Commodities Enforcement

The Securities Enforcement Group at 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, DOJ 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 are regularly 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 firm’s White Collar Defense and Investigations and Securities Litigation Groups, we frequently handle concurrent criminal, civil enforcement and legislative investigations, together with shareholder and derivative litigation, as well as advising on, investigating and defending whistleblower allegations under the Dodd-Frank Act.

Our lawyers have deep experience in the regulatory and enforcement issues confronted by all participants in the securities markets, including issuers of securities, private companies, 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 BlackRock Advisors, LLC; Blackberry (f/k/a Research in Motion); Brocade Communications; Dell Inc.; Ebix Inc.; Gateway Computers; Gemstar; HealthSouth Corporation; Kmart Corporation; Putnam Investments, Inc.; Revlon Inc.; Swisher Hygiene Inc.; and Warnaco Inc.

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 counseling 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 write extensively and lecture frequently on securities law issues. We received a 2017 Chambers USA Award for Excellence for having the nation’s top Securities and Financial Services Regulation practice. Skadden was named The American Lawyer’s 2018 White Collar/Regulatory Litigation Department of the Year.