Securities Enforcement and Compliance

The Securities Enforcement and Compliance 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 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 firm’s 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 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 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 U.S. News — Best Lawyers “Best Law Firms” 2015 and Chambers USA: America’s Leading Lawyers for Business 2015.