Stock option backdating doj initiative
We carry out internal investigations of alleged misconduct in the areas of securities law and financial reporting on behalf of corporations, boards of directors and board committees.
We defend companies and their officers and directors, as well as others, in securities class actions, shareholder derivative suits and private securities litigation in federal and state courts around the country.
Customers are also utilizing alternative dispute resolution such as arbitration and mediation.
Chairman Schapiro has also initiated efforts to bring greater industry expertise to the staff.
Our primary goal is to quickly resolve your problems, preferably before a lawsuit has been filed.
When that's not possible, we zealously represent you throughout the case, including through appeal, where necessary.
And even though it has only been a few months since a new Chairman took office, already there are tangible signs that the SEC has taken a more aggressive enforcement posture. The Backdrop The events of 2008 led directly to the current enforcement agenda.
In this alert, we review the changes the new SEC leadership has instituted and is considering, the observable impact of the new administration on enforcement activity and significant cases in key areas that reflect the agency’s evolving enforcement program. The collapse of the subprime mortgage market, the ensuing credit crisis, the demise of several major investment banks and, perhaps most of all, the Madoff case led to a loss of confidence in the agency’s ability to protect investors.
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While our attorneys include some of the most experienced and respected trial lawyers in the country, we are particularly skilled in issues unique to our financial services clients—including practice before all applicable regulatory authorities.