Securities Litigation, Enforcement & Compliance

The Crowe & Dunlevy Securities Litigation, Enforcement & Compliance Practice Group represents national, regional and local financial institutions, investment advisers, municipal advisers, broker-dealers and individuals in securities litigation, arbitration and regulatory matters across the country. Our team has handled matters in more than 40 states and internationally, and has been part of a national integrated defense team for the nation’s largest securities firms and financial institutions.

Our Litigation – Arbitration Team experience includes:

  • Class action defense
  • Securities fraud
  • Product cases including securities backed lines of credit, structured  products, auction rate securities, ETFs (exchange trade funds), CDOs (collateralized debt obligations), CMOs (collateralized mortgage obligations), MBSs (mortgage-backed securities), municipal bonds and municipal bond funds, open and closed end mutual funds, preferred securities, securities backed lines of credit, margin, commodities and derivatives
  • Sales practice claims including churning, suitability, concentration, fiduciary duty, unauthorized trading and selling away
  • Senior and vulnerable client matters
  • Trusts, estates and beneficiary issues
  • Conflict of Interest claims
  • CFTC (commodities) trading
  • Director and officer liability
  • White collar criminal cases

Our Employment Team experience includes:

  • Transition and recruiting
  • Raiding defense
  • Expungement proceedings
  • Trade secrets, proprietary information and unfair competition matters, including litigation, as well as drafting covenants not-to-compete and non-solicitation provisions, non-disclosures and confidentiality agreements

Our Regulatory and Investigations Team experience includes:

  • U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state enforcement proceedings
  • Regulatory investigations
  • Anti-money laundering investigations
  • Foreign investment markets
  • Internal investigations

Our Compliance Team experience includes:

  • Assisting Individuals and businesses with structuring and evaluating public offerings and private placements in compliance with complex state and federal laws and regulations
  • Serving as disclosure counsel on public offerings, including providing counsel for ongoing disclosure obligations
  • Drafting/updating policies and procedures to assist issuers or other obligated persons in meeting disclosure requirements
  • Drafting and updating internal policies and procedures

Contact us for more information regarding securities litigation, enforcement and compliance matters.

*Past results afford no guarantee of future results. Every case is different and must be judged on its merits.

Investment Advisers

We provide a full range of services to meet the legal, compliance and business needs of registered investment advisers. Our team handles startups, transitioning and other employment matters, all manners of litigation and succession planning. Lead by a former state securities administrator, our team has extensive experience in regulatory investigations and proceedings.

Municipal Advisers – SEC Investigations and Enforcement Actions

We know the SEC has a renewed focus on enforcement activity in the municipal bond market. Consequently, issuers must be attentive and ready if the SEC contacts them. When municipal activities fall under such scrutiny, we assist clients during investigations and enforcement actions to alleviate risks for municipal advisers and issuers, as well as the officials and employees. Preparation before and during an SEC investigation can help lessen the danger of an undesirable result.

Municipal Bond Markets – Disclosure Counsel

Our Securities Litigation, Enforcement & Compliance Practice Group also offers counsel regarding disclosure matters. Our extensive experience makes us adept at multifaceted disclosure standards and practices affecting public securities offerings.

We are cognizant of the latest SEC enforcement actions and other releases, which reiterate that issuers are responsible for the content of the official statement and offering memoranda. Accordingly, issuers may be held accountable under the federal securities laws for misleading statements or omissions in its disclosure documents. As disclosure counsel, we can act as the primary drafting party for the official statements and offering memoranda and are fully equipped to solve complicated disclosure matters.

We also understand your continuing disclosure obligations and have established policies and procedures to assist issuers or other obligated persons in meeting these requirements. In today’s challenging environment, we will work with you to help minimize costs, personnel time and your liability exposure under SEC Rule 15c2-12 and/or Rule 10(b)-5.

No matter what level of disclosure counsel is needed, we have the experience, skills and knowledge to provide clients with solutions to offset the pressure as the issuer.

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