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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.

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