securities defense
T&L offers a sophisticated securities and financial regulatory defense practice that is founded on more than a decade of experience representing clients in high-stakes, high-profile securities-related investigations and enforcement actions. We understand how disruptive and potentially damaging a regulatory investigation can be to a client’s business and industry reputation. We focus on creating an effective strategy to minimize the chances of an investigation turning into an enforcement action.
Our lawyers have represented clients in countless hours of sworn testimony before the SEC, FINRA and other regulatory and governmental agencies. Our approach to representing clients in connection with sworn testimony is simple – prepare our clients properly and thoroughly before testimony to ethically and legally limit and mitigate enforcement exposure. We use the experience garnered through years of representing clients in enforcement actions to anticipate regulatory posture, strategy and tactics to provide our clients with the knowledge – and confidence – to provide truthful on-the-record statements to enforcement authorities that convey maximum defensive positioning.
When an enforcement action is unfortunately inevitable, T&L’s helps clients develop an effective response that involves not only retention, preparation, review and production of documents (and other materials called for by subpoena) and witness preparation, but also business continuity measures such as public relations / reputation management and development and implementation of remedial procedures and safeguards. This multi-faceted approach has enabled T&L to negotiate dispositions of enforcement actions that permit the continuation of a client’s business – both from the perspective of the regulators and the client’s investors and counterparties.
Selected Securities Defense Services: