Securities Enforcement

Overview

From complex “bet the company” investigations and litigation to preventive compliance and targeted training of investment professionals and corporate officials, clients trust Gibson Dunn’s Securities Enforcement group for its deeply experienced team and track record of success.

We have represented clients in all industries in their most important matters. We know that each case is unique and that the best possible outcome requires an assessment of the facts, mastery of the law, development of a sound strategy in collaboration with our clients, and successful execution of that strategy.

Whether defending a  sensitive government investigation that puts a company or its senior executives at risk, litigating an enforcement action, or challenging a new regulation, our securities enforcement team is second to none. We have the knowledge, reputation, capabilities, and track record of winning the highest-stakes cases and outcomes that leading companies, executives and boards of directors demand when facing their most pressing enforcement challenges.

Gibson Dunn is a collaborative firm that works seamlessly across our offices and our leading practice groups to offer a holistic solution to our clients. This is vitally important in securities matters, which often require a multi-pronged strategy for managing civil litigation in the trial and appellate courts, parallel regulatory enforcement actions, and related matters challenging the conduct of founders,  officers, directors and major shareholders. For each securities matter, we develop an integrated strategy that offers our clients the benefit of Gibson Dunn’s world-class practitioners and industry professionals.

Our approach begins by understanding our clients’ business needs and strategies. We help our clients navigate the most serious legal and regulatory challenges, while keeping the big picture goals in mind. Our mission is our clients’ success.

Our client groups include:

• Public companies
• Global financial institutions
• Investment advisers and broker-dealers
• Auditors
• Stock exchanges
• Officers and directors
• General counsels and chief compliance officers

We’ve been involved in many of the largest federal and state regulatory investigations concerning:

• Cybersecurity
• Complex accounting and financial reporting
• Marketing and valuation of complex derivatives and structured products
• Foreign Corrupt Practices Act
• ESG and public company disclosures
• Insider trading
• Investment adviser conflicts of interest
• Accountants’ liability

Our greatest successes are the ones that receive no publicity whatsoever because we successfully persuaded the SEC to close its investigation without taking any action against our client. Our experience enables us to anticipate the direction of an investigation, stay ahead of the curve, and successfully address issues with the government.