O’Melveny is skilled and experienced in defending financial services firms, public and private companies, accounting firms, and individuals who are facing multiple and often overlapping investigations from the Securities and Exchange Commission (SEC), self-regulatory organizations (including FINRA and its predecessors, NASD and NYSE), state securities regulators, and federal and state criminal prosecutors. Our clients prize O’Melveny’s ability to efficiently and effectively deploy the right team of lawyers to address those complex proceedings.
The firm has a depth of experience in securities enforcement matters. Our lawyers include former senior members of the SEC’s Division of Enforcement, the Office of Compliance, Inspections, and Examinations, a former Wall Street trader, and former federal prosecutors with specific and longstanding experience in criminal enforcement of the securities laws.
As investigations have become more international in scope, so has our practice. We often represent clients both inside and outside the United States in securities enforcement and related matters. With offices in the world’s leading financial centers, we have the resources and geographic reach to effectively respond to transnational investigations, particularly in the Foreign Corrupt Practices Act (FCPA) arena.
Many of the firm’s most successful representations are those that received no publicity. Our goal is to have investigations close without an enforcement action being filed. Protecting the reputation of a firm or an individual is critical.
Should litigation arise, O’Melveny combines its expertise, deep trial experience and unparalleled resources to expertly handle these cases. Many of our lawyers regularly contest some of the most challenging and high profile securities actions. The firm is equally adept in resolving cases by settlement and has obtained favorable results for clients.
Key Facts
- We have successfully defended clients in enforcement actions and responded to inquiries involving financial fraud, insider trading, broker dealer and investment adviser fraud, market practice and sales practice violations.
- We regularly defend and counsel clients in matters involving the Foreign Corrupt Practices Act.
- We have represented clients in regulatory actions and investigations involving SRO conduct rules including order handling, political contributions, gifts and entertainment, and the distribution of retirement products.