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Securities

Practice Overview

Buckley Sandler’s Securities practice is composed of highly regarded attorneys who previously served in senior positions at the Securities and Exchange Commission (SEC), Department of Justice (DOJ), and U.S. Attorney’s Offices in DC, New York, and Northern Virginia. While many of our lawyers are skilled in handling independent investigations, private litigation, and government enforcement matters, others provide deep subject matter experience in capital formation, asset management, the regulation of broker-dealers, and compliance with the Foreign Corrupt Practices Act (FCPA) and anti-money laundering (AML) laws.

Our attorneys typically represent public companies, financial institutions and their officers, directors, senior managers, partners, and employees in investigations and enforcement proceedings brought by the SEC, Financial Industry Regulatory Authority (FINRA), DOJ, and state attorneys general. Our team is particularly skilled in identifying, addressing, and overcoming the unique demands of regulators. This experience includes assisting our clients in preparing for and responding to regulatory examinations, inquiries, and enforcement proceedings.

We have defended corporate and individual clients in concurrent criminal, civil enforcement, and legislative investigations. Our lawyers guide clients to amicable settlements, assess litigation options, and defend against enforcement proceedings both in court and before regulatory tribunals. We conduct internal investigations for private and public companies, as well as routinely advise on the establishment and implementation of robust compliance programs. Our team also defends against single and multi-plaintiff claims and class actions pertaining to securities fraud and misrepresentation, as well as derivative actions involving breach of fiduciary duty and related torts. We are particularly adept at navigating all aspects of the SEC’s whistleblower program and have conducted numerous whistleblower investigations and provided advice and counseling on the recent developments related to employee protections under that program.

Articles

News & Blogs

Press Releases

  • Gordon Miller joins Buckley Sandler

    WASHINGTON, DC (August 13, 2018) – Buckley Sandler LLP announced today that banking regulatory lawyer Gordon L. Miller has joined the firm as a Senior Counsel in its Washington, D.C., office. Miller brings more than three decades of public- and private-sector experience in bank regulation,...

    Press Releases
  • Thomas A. Sporkin Recognized by Securities Docket in Its “Enforcement 40”

    Buckley Sandler Partner Thomas A. Sporkin has been named to Securities Docket ’s 2017 “Enforcement 40” list, which recognizes 40 of the “best and brightest” securities and enforcement attorneys in the country. Securities Docket reviewed more than 150 nominations to update the list for the first...

    Press Releases
  • Best Lawyers in America Recognizes 11 Buckley Sandler Partners for 2018

    Buckley Sandler is pleased to announce that 11 of its partners have been recognized by their peers for inclusion in Best Lawyers in America® 201 8. Partners Andrew L. Sandler , Jeremiah S. Buckley , Preston Burton , Benjamin B. Klubes , Joseph M. Kolar , David S. Krakoff , Andrea K. Mitchell ,...

    Press Releases

Our Securities Team