Securities Enforcement

Leaders

Barry Goldsmith New York
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Mark K. Schonfeld New York
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Richard W. Grime Washington, D.C.
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Marc J. Fagel San Francisco
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Overview

The Securities Enforcement Practice Group is at the forefront of the fast-paced and ever-changing SEC enforcement and regulatory regime, representing clients in all aspects of securities law enforcement.  

From complex "bet the company" investigations and litigation to preventive compliance and targeted training of investment professionals and corporate officials, clients trust Gibson, Dunn & Crutcher's Securities Enforcement group for its deeply experienced team and track record of success.  Client groups include: 

  • Officers and directors
  • Chief compliance officers
  • Issuers
  • Hedge funds
  • Institutional and regional broker-dealers
  • Stock exchanges
  • Mutual funds
  • Global investment banks
  • Auditors 

Our lawyers have garnered group and individual honors.  Chambers twice bestowed the Chambers USA Award for Excellence on the team in the Securities Enforcement and Regulation category, noting that Gibson Dunn "enjoys a reputation as having one of the strongest … enforcement practices in the USA" and "is engaged in some of the most challenging and significant matters of recent times."  In addition, in November 2014 Law360 honored two of our lawyers with its "MVP of the Year Award" in the Securities category.

The Securities Enforcement group has been involved in many of the largest federal and state regulatory investigations concerning:   

  • Auction rate securities
  • Structured products
  • Credit default swaps
  • LIBOR
  • Collateralized debt obligations
  • Subprime mortgages
  • Securitizations
  • Executive compensation
  • Accountants' liability 

Our Securities Enforcement team is led by former high-ranking lawyers with the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice and the Financial Industry Regulatory Authority (FINRA).  Following the subprime crisis and new legislation, Gibson Dunn was the first defense firm to establish a multidisciplinary whistleblower team to advise clients on the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act.   

Gibson Dunn distinguishes itself by its record of actual litigation wins and deep investigatory experience.  We have extensive proficiency in conducting highly sensitive and time-critical internal investigations involving entities that are simultaneously undergoing regulatory, U.S. congressional and media scrutiny.  Our team of former regulators and prosecutors can effectively guide a firm or individual through multifaceted securities enforcement investigations that have both civil and potential criminal dimensions.