Securities litigation remains an ongoing threat to businesses and financial institutions. McDermott’s SEC Enforcement group is composed of lawyers – including former senior members of the US Securities and Exchange Commission (SEC) Division of Enforcement – who possess substantial experience covering the full spectrum of securities enforcement activity. Our lawyers are knowledgeable about the SEC as an agency, including its rules, practices and customs, and maintain excellent relations with staff of the Enforcement Division and Office of General Counsel.
Clients rely on McDermott to provide legal defense against securities litigation. We have secured favorable results stemming from investigations and enforcement proceedings, on behalf of public companies, their audit committees, officers, directors and senior management, as well as financial services firms, broker deals, investment advisors, hedge funds and accounting firms.
Our capabilities cover all aspects of SEC and other regulatory investigations, as well as parallel proceedings, private class actions and derivative litigation. We have been successful in deterring the SEC at various stages of enforcement investigations and frequently persuade the SEC either not to take any action against our clients or to reduce the nature and scope of the charges, including the elimination of fraud-based charges.
We have demonstrated success – civil and criminal – bringing trials to verdict in federal district courts and handling administrative proceedings at the federal and state level, and we possess substantial appellate experience in the appeal of administrative decisions to the SEC and to the US circuit courts.
As a testament to the mutual respect between our practice and the commission, we have successfully petitioned the SEC to appear as amicus curiae in favor of a client’s position in private securities litigation. The SEC also has called upon members of our group to act as receivers in the SEC civil enforcement proceedings. This cumulative experience differentiates McDermott from the competition, ultimately providing clients with the best legal representation to achieve a favorable outcome.
A diverse, global network of industry-leading talent committed to you and your vision.
On the Subject / August 20, 2019
On the Subject / April 17, 2019
ALAS Managing Partner’s Corner / March 2019
The Banking Law Journal / March 2019
On the Subject / November 29, 2018
On the Subject / November 28, 2018
On the Subject / August 17, 2018
Chicago, Illinois / Speaking Engagements / June 6, 2018
Bloomberg BNA / March 27, 2018
Corporate Counsel / March 14, 2018
On the Subject / March 6, 2018
Chicago, Illinois / Speaking Engagements / June 7, 2017
On the Subject / August 7, 2015
On the Subject / March 19, 2015
On the Subject / February 24, 2015
International News / April, 2006
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Daily Business Review / April 16, 2019
Corporate Counsel / March 12, 2019
Law360 / January 14, 2019
Thomson Reuters / Prolonged Shutdown Likely to Affect Audit Regulator's Functions
Prolonged Shutdown Likely to Affect Audit Regulator's Functions
Compliance Week / December 27, 2018
Washington, DC / Forbes / December 10, 2018
Law.com / July 10, 2018
The Washington Post / July 9, 2018
Former Executives of Defunct For-Profit College Firm ITT Settle Fraud Charges with ...
Law360 / July 6, 2018
Chicago / Commercial Dispute Resolution (CDR) / January 19, 2018
Chicago / Law360 / January 3, 2018
Chicago / / January 2, 2018
McDermott Strengthens Securities Defense Practice with Experienced SEC Enforcement Lawyer
Washington, DC / Law360 / December 22, 2017
Washington, DC / Law360 / October 31, 2017
New York / Law360 / September 11, 2017
Boston / The New York Times Dealbook / July 26, 2017
Boston / New York Business Journal / July 20, 2017
Boston / Law360 / July 6, 2017
Boston / Law360 / June 16, 2017
Boston / Bloomberg BNA Big Law Business / June 6, 2017
Boston / Global Investigations Review / June 6, 2017
McDermott Hires Boston Chief White-Collar Prosecutor, Who Saw FCPA Investigations Triple
Boston / Bloomberg BNA Big Law Business / June 5, 2017
Boston / Law360 / June 5, 2017
Boston / Citybizlist Boston / June 5, 2017
Chief Federal Prosecutor Sarah E. Walters Joins McDermott’s Litigation Practice as ...
Boston / Boston Business Journal / June 2, 2017
McDermott Hires Top Finance Prosecutor in Carmen Ortiz’s Office
Chicago / Law360 / April 28, 2017
Washington, DC / Law360 / April 17, 2017
Washington, DC / Bloomberg BNA Securities Law Daily / April 14, 2017
Boston / Law360 / April 10, 2017
Accolades & Rankings / November 4, 2015
U.S. News & Best Lawyers Names McDermott “Tax Law Firm of the ...
Law360 / June 8, 2015
Law360 / June 18, 2014
Inside Counsel / June 4, 2014
Wall Street Journal / May 30, 2014
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