Companies and individuals engaged in the securities and commodities industry regularly confront changing regulatory, economic, and competitive requirements. They rely on deep and informed knowledge to help anticipate and respond to new and evolving developments.
Perkins Coie’s attorneys have represented clients in virtually every major securities and commodities enforcement initiative conducted by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), and the U.S. Department of Justice (DOJ) during the past decade. In particular, our experience includes investigations involving insider trading, the issuance and trading of cryptocurrencies, money laundering, failure to obtain a money transmission license, trading manipulation, accounting irregularities, spoofing, flying of prices, printing of fake trades, records backdating, records retention, use of unauthorized channels for business communications, supervisory issues, and charges of false statements before the regulators. Drawing on both collective and individual depth, our attorneys are equally knowledgeable in issues involving cryptocurrency and the Foreign Corrupt Practices Act (FCPA), as well as swaps, derivatives, and other complex financial products.
Perkins Coie’s securities and commodities enforcement attorneys regularly represent both companies and individuals in investigations before the SEC, CFTC, FINRA, DOJ, state attorney general's offices nationwide, and state securities regulators. Our clients include crypto-related entities, private and public companies, accounting firms, hedge funds, broker-dealers, investment banks and other financial institutions, as well as individual traders, salespeople, brokers, advisers, and supervisors.
We counsel on the application and interpretation of the Securities Act, the Securities Exchange Act, the Commodity Exchange Act (CEA), and the Dodd-Frank Act in the context of internal investigations, administrative proceedings, and enforcement actions, as well as parallel criminal and civil proceedings. We also advise on new SEC and CFTC standards and regulations and recommend safeguards that companies can implement to ensure compliance.
When clients are facing simultaneous inquiries by multiple federal and state government agencies, their cases become even more complicated—and are ones in which our attorneys have extensive knowledge. We also regularly work with Fortune 500 companies and financial services firms to conduct internal investigations related to corporate governance, accounting, disclosure, and regulatory issues.
Many of our securities and commodities enforcement attorneys joined the firm after gaining significant regulatory experience in government agencies, including the SEC, CFTC, and DOJ. This background provides us with an informed perspective on government enforcement actions, which is an invaluable asset in defending clients against regulatory allegations. This context has allowed us to develop a deep understanding of the workings of the various federal and state agencies involved in many of our representations.