Securities Enforcement & Investigations

"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.

During the past decade, Cadwalader has served as lead counsel in a number of high-profile enforcement matters and investigations, dealing regularly with the SEC enforcement staff, the DOJ and US Attorney’s Office throughout the United states.  For example, our attorneys have:

  • Recently conducted a global internal investigation into accounting irregularities for the Audit Committee of a Fortune 150 company.
  • Conducted a similar inquiry for the audit committee of a stock exchange.
  • Conducted similar internal investigations for a number of companies, as well as independent counsel for audit committees.
  • Represented several national and international banking institutions, as well as investment advisors, and broker-dealers, in SEC and FINRA investigations.
  • Represented and advised several broker-dealers, financial institutions and investment advisors in investigations of synthetic derivative products.
  • Represented companies and their executives concerning insider trading matters.
  • Represented option traders in connection with alleged violations of Reg SHO.
  • Represented a large hedge fund and advised on securities-related compliance matters.
  • Represented individuals at the center of investigations by DOJ and other domestic and foreign law enforcement and regulatory agencies into the manipulation of LIBOR and the issuance of mortgages.
  • Advised financial institutions, investment advisors, broker-dealers and hedge funds on compliance matters and governance issues.



14 Attorneys

Avergun, Jodi L. Partner Washington
T. +1 202 862 2456
Bull, Nathan Partner New York
T. +1 212 504 5752
Carey, Peter Associate Washington
T. +1 202 862 2339
Duncan, J. Robert Associate Washington
T. +1 202 862 2233
Gerver, Keith M. Associate Washington
T. +1 202 862 2381
Halper, Jason M. Partner New York
T. +1 212 504 6300
Hoff, Jonathan M. Partner New York
T. +1 212 504 6474
Jay III, A. Joseph Special Counsel Washington
T. +1 202 862 2248
Moreno, Joseph V. Partner Washington
T. +1 202 862 2262
New York
T. +1 212 504 6262
Tompkins, Anne M. Partner Charlotte
T. +1 704 348 5222
T. +1 202 862 2496
Treanor, James A. Associate Washington
T. +1 202 862 2330
Urban, Lex Associate Washington
T. +1 202 862 2320
Wainstein, Kenneth L. Partner Washington
T. +1 202 862 2474
Wharton, Kendra (Clayton) Associate Washington
T. +1 202 862 2333

Finance Forum 2017

Cadwalader is proud to host the 2nd Annual Finance Forum in Charlotte on November 8, 2017.

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