Securities Enforcement

Cadwalader’s White Collar Defense and Investigations Group regularly represents clients in securities fraud and other complex proceedings before the Securities and Exchange Commission, the Department of Justice, the New York State Attorney General, among other federal and state prosecutors, as well as oversees authorities, including the UK Financial Conduct Authority and the UK Serious Fraud Office. Another core competency of our group is conducting internal investigations for public company and financial institution clients regarding their most sensitive matters. We also regularly advise clients on related issues in the context of corporate transactions, and with regard to the many collateral risks that securities issues and government inquiries may pose.

Notably, our preeminent corporate practitioners take a multidisciplinary approach to achieving demanding client business objectives and solving high-stakes client problems, drawing on the experience our nationally and internationally recognized litigation partners, many of whom are former DOJ senior officials and seasoned trial lawyers and subject matter experts in related practices, including corporate governance, tax, restructuring and capital markets, among others.  Our collective decades of experience and success in handling parallel internal and government investigations and related securities litigation matters, as well as counseling in connection with related corporate matters, regularly allows us to help clients avoid disputes altogether -- or have the most protective record possible if they are ever faced with litigation or regulatory scrutiny.

Cadwalader has served as lead counsel in several high-profile securities enforcement matters and investigations, dealing regularly with the Securities and Exchange Commission Enforcement Division staff, the Department of Justice, and United States Attorney’s Offices.  In recent years the group has:

  • Conducted a global internal investigation into accounting irregularities for the Audit Committee of a Fortune 150 company
  • Represented several national and international banking institutions, as well as investment advisors, and broker-dealers, in Securities and Exchange Commission and FINRA investigations
  • Represented and advised multiple broker-dealers, financial institutions and investment advisors in investigations of synthetic derivative products
  • Represented companies and their senior executives concerning insider trading matters.
  • Represented option traders in connection with alleged violations of Reg SHO
  • Advised a major hedge fund on securities-related compliance matters
  • Represented individuals at the center of investigations by the Department of Justice and other domestic and foreign law enforcement and regulatory agencies into the manipulation of LIBOR and the issuance of mortgages



8 Attorneys

Avergun, Jodi L. Senior Counsel Washington
T. +1 202 862 2456
Breen, Kenneth M. Partner New York
T. +1 212 504 6240
Guberman, Phara A. Partner New York
T. +1 212 504 6241
Halper, Jason M. Partner New York
T. +1 212 504 6300
Holloman, Ellen V. Partner New York
T. +1 212 504 6200
Khinda, Philip S. Partner New York
T. +1 212 504 6691
T. +1 202 862 2262
Larson, Christian Special Counsel Washington
T. +1 202 862 2402
Tompkins, Anne M. Partner Charlotte
T. +1 704 348 5222
T. +1 202 862 2496