Cadwalader’s White Collar Defense and Investigations Group represents clients in securities and accounting fraud investigations and proceedings brought by the Securities and Exchange Commission, the Department of Justice, the New York State Attorney General, the UK Financial Conduct Authority, the UK Serious Fraud Office, as well as self-regulatory proceedings by the Financial Industry Regulatory Authority (FINRA).
Members of the group have represented 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. The group also conducts internal investigations on behalf of boards, audit committees, and special committees and management, and advises 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.
The group takes a multidisciplinary approach to solving complex client challenges, drawing from the experience of our nationally and internationally recognized lawyers, many of whom are former DOJ senior officials and seasoned litigators and from subject-matter specialists in our other leading practice groups, such as Corporate & Securities Litigation, Corporate, Financial Services, and Capital Markets. Based on the group’s experience in handling parallel government and private securities litigation matters, its lawyers understand the multifaceted nature of a representation involving securities laws.