Securities Litigation, Enforcement & Compliance

Our business is to get you back to your business.

The Securities Litigation, Enforcement & Compliance Practice Group of Crowe & Dunlevy is dedicated to finding legal solutions for a wide range of businesses in securities, inside and outside the courtroom. In a global economy, our firm represents clients locally, nationally and around the world.

Our firm has served as counsel for individual securities firms, jointly as counsel for securities firms and individual securities agents and/or investment advisors in proceedings involving sales practice, employment and investment products. Our Securities Litigation, Enforcement & Compliance group also provides representation before various securities regulatory organizations including the U.S. Securities and Exchange Commission, FINRA and the various state securities agencies.

Law firms throughout the country turn to Crowe & Dunlevy to act as lead, special or local counsel in complex litigation or major transactions under Oklahoma jurisdiction.

Whether in negotiation, litigation, mediation or arbitration, our firm is dedicated to providing the highest quality legal representation. The attorneys in our Securities Litigation, Enforcement & Compliance practice are committed with an emphasis on personal attention. In short, we mean business.

Experience

Crowe & Dunlevy assists clients, both individual and business, with structuring and evaluating public offerings and private placements and compliance with complex state and federal laws and regulations. Our experience extends to:

  • CFTC (commodities) trading
  • Director and officer liability
  • Insider trading
  • Mutual funds and investments
  • SEC, State and FINRA regulatory investigation and enforcement
  • FINRA arbitration proceedings
  • Employment recruiting and raiding defense
  • Securities fraud
  • Foreign investment markets
  • White collar criminal cases
  • Medicare/Medicaid fraud audit
  • Municipal finance
  • SEC investigations and enforcement actions (municipal issuers)

Clients include local commercial enterprises, as well as securities and financial firms across the United States. Our work includes multidistrict litigation and securities industry arbitration in such forums as the New York Stock Exchange, NASD and FINRA.

We have appeared in almost every state as part of integrated internal and external sales practice for large securities firms.

Disclosure Counsel

Our Securities 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, staff 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.

SEC Investigations and Enforcement Actions – Municipal Advisors

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 advisors 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.

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.

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