Securities Enforcement & Compliance
Our Securities Enforcement & Compliance Practice provides sophisticated legal guidance and defense in government enforcement proceedings, internal investigations, regulatory examinations, whistleblower claims and shareholder and class action lawsuits. We represent companies and individuals confronted with complex securities enforcement matters related to the federal and state securities laws, financial regulations and accounting standards.
We work closely with clients as strategic business partners in proceedings before government and regulatory bodies, including the Securities Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Public Accounting Oversight Board (PCAOB), Consumer Financial Protection Bureau (CFPB), stock exchanges and inspectors general offices. Our clients include securities firms, public companies, financial institutions, investment funds, accounting firms and board of directors, as well as individuals, such as securities traders, investment professionals, executives, directors, compliance officers and lawyers.
Our Securities Enforcement team includes former senior federal enforcement attorneys, in-house counsel and public company executives. Leveraging the extensive experience of the firm’s Public Company Advisory Practice Group, which is currently engaged by more than 35 public companies as corporate and securities counsel, the team provides holistic counsel with the entire scope of the clients’ business objectives in mind. Clients say Bass, Berry & Sims “provides a New York level of expertise and skill, but at smaller market rates, which is really valuable” (from Chambers USA 2020), and that the firm is “a go-to firm for securities matters” (from Chambers USA 2019), and that we “go toe to toe on expertise with New York firms.” (from Chambers USA 2018).
Our Securities Enforcement team handle matters involving a wide range of legal and compliance issues, including:
- Securities trading and execution.
- Investment advice.
- Portfolio management.
- Corporate disclosure and reporting obligations.
- Insider trading.
- Financial reporting and accounting requirements.
- Securities fraud.
- Securities registration and offering rules.
- Anti-money laundering regulations.
- Bank regulations and fraud.
- Mortgage regulations and fraud.
- Anti-corruption and the Foreign Corrupt Practices Act (FCPA).
- Troubled Asset Relief Program (TARP).
- Shareholder disputes.
Experience
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Obtained a complete victory for the former vice president of Pilot Flying J who, along with three others, was accused of seeking to defraud customers.
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Successful representation of a public company in an 18-month Securities & Exchange Commission (SEC) investigation related to accounting and disclosure issues, resulting in a decision by the SEC to terminate the investigation
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Successfully represented a company in a confidential Securities & Exchange Commission (SEC) investigation arising from a former employee’s complaint about allegedly improper accounting practices
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Advised a multinational company in review of potential anti-money laundering violations
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Represented ArthroCare Corporation in a five-year U.S. Department of Justice investigation into allegations of healthcare and securities fraud resulting in a Deferred Prosecution Agreement and no post-settlement monitoring.
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Assisted a U.S. financial services firm to understand and meet its anti-bribery due diligence obligations
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Served as lead counsel for the Special Litigation Committee created by the board of directors to investigate allegations of breaches of fiduciary duties by all company directors in connection with alleged healthcare fraud billing issues and consider possible filing of derivative action
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Served as the Regulatory Auditor for the NYSE pursuant to the terms of an order of the SEC
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Served as Regulatory Auditor for the NYSE Amex LLC
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Conducted internal investigations for a leading provider of independent living, supportive living, assisted living and memory care services at senior living facilities in Alabama, Georgia, Florida and Pennsylvania
Professionals
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.
Notice
Visiting, or interacting with, this website does not constitute an attorney-client relationship. Although we are always interested in hearing from visitors to our website, we cannot accept representation on a new matter from either existing clients or new clients until we know that we do not have a conflict of interest that would prevent us from doing so. Therefore, please do not send us any information about any new matter that may involve a potential legal representation until we have confirmed that a conflict of interest does not exist and we have expressly agreed in writing to the representation. Until there is such an agreement, we will not be deemed to have given you any advice, any information you send may not be deemed privileged and confidential, and we may be able to represent adverse parties.