Market Leading SEC Enforcement Defense
Our public finance lawyers have been central in shaping the securities laws that affect public finance. The team includes former members of the US Securities and Exchange Commission’s (SEC) Office of Municipal Securities, as well as former regulators and prosecutors in Dallas, New York, Seattle, and Washington, DC. This insider’s perspective gives us an advantage in defending clients in regulatory investigations and enforcement actions brought by federal and state agencies.
We defend state and local governments, financial firms, and municipal advisors as well as their officers, directors, and employees. We defend counsel and other municipal market participants in regulatory investigations and enforcement actions by the SEC, US Department of Justice, state attorneys general, and Financial Industry Regulatory Authority (FINRA). If you need assistance defending against SEC enforcement actions, contact us today!