"The rigorous report [by Cadwalader] sets the standard....This, fellow District residents, is how dedicated, smart people do it." - Washington Post, October 12, 2012.
Cadwalader's Securities Enforcement and Investigations practice represents clients in investigations and proceedings initiated by the Securities and Exchange Commission ("SEC"), the Department of Justice ("DOJ"), the Financial Industry Regulatory Authority ("FINRA"), state attorneys general, and other domestic and foreign law enforcement and regulatory agencies.
Members of the practice team represent a broad array of clients, including public and private companies, boards of directors and audit and compliance committees, banking institutions, financial services companies, hedge funds, broker-dealers, investment advisers, and their officers and directors. Our attorneys also conduct internal investigations on behalf of boards, audit committees, and special committees and management, and advise companies with respect to matters of corporate governance, disclosures, securities and financial regulations, and compliance with the securities laws, including the Sarbanes-Oxley and Dodd-Frank Acts.
As part of Cadwalader's White Collar Defense and Investigations Group, our Securities Enforcement and Investigation practice takes a multidisciplinary approach to solving complex client challenges. We draw from the experience of our nationally and internationally recognized lawyers, many of whom are former SEC and DOJ senior officials and seasoned litigators and from subject-matter specialists in our other leading practice groups, such as Securities Litigation, Corporate, Financial Services, and Capital Markets. Based on our experience in handling parallel SEC, DOJ, and private securities litigation matters, our lawyers understand the multifaceted nature of a representation involving the securities laws.