Abwehr von SEC Vollstreckungsmaßnahmen

Overview


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.

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Repräsentative Mandate


  • John P. Flannery, the former chief investment officer of State Street Global Advisors, with complete exoneration of all charges brought by the SEC, alleging a host of violations arising from communications to investors during the subprime mortgage crisis.
  • A global health care manufacturer with its internal investigations overseas regarding issues of potential violations of the FCPA and UK Bribery Act, following a subpoena from the SEC.
  • An affiliated investment adviser, broker-dealer and the CEO and controlling shareholder in an SEC investigation and five related private civil actions arising from allegations of the misappropriation of client assets by a registered representative of the broker-dealer. McDermott developed a strategy for managing the SEC investigation and the civil litigation, all of which were able to resolve successfully, allowing the companies to remain in business.

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People


A diverse, global network of industry-leading talent committed to you and your vision.

Key Contacts


Fredric D. Firestone

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Paul M.G. Helms

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Mike Piazza

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Abwehr von SEC Vollstreckungsmaßnahmen

Insights & Events / Media

On the Subject / August 20, 2019

ALAS Managing Partner’s Corner / March 2019

On the Subject / November 29, 2018

On the Subject / November 28, 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

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