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.
Allison Wiseman Acker
Associate
Brian Irving
Associate
John E. Kelly
Member
Britt K. Latham
Member
Thaddeus R. McBride
Member
Michael J.  Rivera
Member
Abby Yi
Associate