Securities Enforcement

Perkins Coie's Securities Enforcement practice represents clients in high-stakes securities and derivatives enforcement and litigation matters throughout the United States.  Given our depth of experience and credibility with regulators, our attorneys have represented clients in practically every major securities enforcement initiative conducted by the SEC and DOJ during the past decade, including investigations involving insider trading, Ponzi schemes, hedge funds, the subprime and credit crisis, auction rate securities, accounting irregularities, options backdating, mutual fund trading, and the Foreign Corrupt Practices Act. 

Our securities enforcement attorneys regularly represent individuals, public companies, accounting firms, hedge funds, broker-dealers, investment advisers, and financial institutions before the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, Department of Justice, State Attorney General's Offices nationwide, and state securities regulators.    

Our attorneys are particularly experienced in handling simultaneous inquiries by multiple federal and state government agencies and prosecutors in complex cases. We also regularly work with Fortune 500 companies to conduct internal investigations related to corporate governance issues, accounting, disclosure, and regulatory issues faced by financial services firms.   

The Securities Enforcement team includes former SEC senior enforcement staff and senior prosecutors from the Department of Justice, as well as many other government agency attorneys with decades of regulatory enforcement experience. Our tenure as SEC counsel and federal prosecutors gives us a unique perspective on government enforcement actions, an asset in defending clients against regulatory allegations.  This experience has allowed us to develop a deep understanding of the workings of the various federal and state agencies involved in many of our representations. 

Representative Securities Enforcement Experience:

• Represented an executive in an insider trading investigation conducted by the SEC and DOJ relating to expert networking firms
  
  
• Represented independent directors of a hedge fund in a SEC investigation regarding issues of asset valuation and cross trading
  
  
• Represented a hedge fund in a SEC investigation regarding issues of asset valuation and disclosure
  
  
• Represented an offshore trust and hedge fund administrator in investigations conducted by the SEC and DOJ regarding issues of ownership disclosure and insider trading
  
  
• Represented a state investment agency in investigations conducted by the SEC and DOJ relating to the role of placement agents, and conducted a related internal inquiry
  
  
• Represented a hedge fund in connection with a SEC investigation relating to the payment of placement agents
  
  
• Represented an offshore hedge fund administrator in an SEC investigation and related litigation involving a hedge fund Ponzi scheme
  
  
• Represented an investment bank in connection with regulatory investigations relating to mortgage-backed securities
  
  
• Represented a CFO of a public company in a SEC revenue recognition investigation
  
  
• Represented a CEO of a private company in a SEC insider trading investigation
  
  
• Served as lead counsel for court-appointed receivers in SEC-related matters
  
  
• Represented pension fund investors/victims of a Ponzi scheme in connection with investigations and related litigation by the SEC and CFTC
  
  
• Represented financial institution in connection with auction rate securities investigations
  
  
• Represented former CEO of a publicly-held corporation involving allegations of insider trading
  
  
• Represented former senior executive in an investigation relating to allegations of improper revenue recognition
  
  
• Represented corporate officer in a market timing investigation
  
  
• Represented mutual fund in a market timing investigation
  
  
• Represented firms and individuals in dozens of FINRA arbitrations related to alleged securities violations
  
  
• Represented publicly-traded technology company in a SEC investigation of alleged accounting irregularities
  
  
• Represented CEO of a public technology company in internal and SEC investigations of alleged stock option backdating
  
  
• Represented company in grand jury and SEC investigations relating to allegations regarding aiding and abetting securities fraud
  
  
• Represented senior vice president of an Internet company in a SEC investigation and action for insider trading