Securities and Exchange Commission, SEC, Building in Washington DC.  The SEC regulates stocks and bonds and related financial activities.

SECURITIES AND EXCHANGE COMMISSION (SEC) – DIVISION OF ENFORCEMENT


As national and global market leaders know, the ability to understand and navigate the Securities and Exchange Commission’s regulatory and enforcement landscape is critical to any major public company. From long experience and with a practical knowledge of government and regulatory policy, decision making, enforcement practices, and personnel, Latham lawyers have the judgment and insight necessary to develop a strategy for the specific needs of each matter and each client. Latham also has an enviable record of winning against the government and regulators at the pretrial and trial stages.

When interacting with the SEC:

  • Corporate leaders need counsel who should understand comprehensively the SEC and the regulatory regime that bears directly and indirectly on a company’s industry and financial reporting.
  • If facing an SEC Division of Enforcement investigation into the conduct of a company and its personnel, the company’s corporate leaders will need experienced legal counsel to help navigate the investigation.
  • If an investigation results in an enforcement action against a company or its personnel, corporate leaders will want experienced counsel with a track record of success defending the company and its board in the action.

Latham has a rich history and deep experience with the SEC and other financial regulators; at various times Latham partners have served at the highest levels of the SEC, including as Chairman, General Counsel, and Director of the Division of Corporation Finance. Current partners include a former Deputy General Counsel, a former Associate Director at the Division of Enforcement, and a former Associate Director at the Division of Trading and Markets. In addition, the group includes a number of highly experienced former federal prosecutors with extensive trial experience in criminal securities law prosecutions, including two former Assistant Attorneys General in charge of the Criminal Division of the US Department of Justice, the former Chief of Securities and Commodities Fraud Unit in the Southern District of New York, and two former Chiefs of the Enron Task Force.

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January 27, 2022Recognition

White Collar Group of the Year: Latham

Firm honored for successfully representing corporations and individuals in some of the year’s most sensitive and high-stakes criminal matters