Arent Fox’s Securities Enforcement and Litigation practice group has numerous attorneys with decades of experience in this practice area. They include several former US Securities and Exchange Commission (SEC) and US Department of Justice attorneys. They regularly represent companies, investment advisors, directors and officers, professional advisors, and individuals in connection with class action securities litigation, shareholder derivative litigation, investigations, and prosecutions involving various securities, commodities, investment, and corporate law matters.

Our work includes investigations and prosecutions by governmental entities (e.g., the SEC, Department of Justice, US Commodity Futures Trading Commission, various state attorneys general, and state securities regulators), self-regulatory organizations (SROs) (e.g., the Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE)), as well as internal investigations at the request of corporate boards, audit and other special board committees, and general counsels. These engagements include such substantive allegations as insider trading, market manipulation, various fraudulent schemes, improper accounting, disclosure violations, municipal pay-to-play schemes, brokerage and investment advisor compliance issues, and compliance with the Foreign Corrupt Practices Act (FCPA) and other anti-corruption laws like the UK Bribery Act.