Securities Enforcement and Compliance

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.

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



12 Attorneys

Avergun, Jodi L. Partner Washington
T. +1 202 862 2456
Blanche, Todd Partner New York
T. +1 212 504 6226
Duncan, J. Robert Associate Washington
T. +1 202 862 2233
New York
T. +1 212 504 6233
Gerver, Keith M. Associate Washington
T. +1 202 862 2381
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 Washington
T. +1 202 862 2262
New York
T. +1 212 504 6691
Tompkins, Anne M. Partner Charlotte
T. +1 704 348 5222
T. +1 202 862 2496
Treanor, James A. Special Counsel Washington
T. +1 202 862 2330
Urban, Lex Special Counsel New York
T. +1 212 504 6509
Wharton, Kendra L. Associate Washington
T. +1 202 862 2333
Wintermyer, Wesley Associate Washington
T. +1 202 862 2482