The Securities Enforcement Practice Group is at the forefront of the fast-paced and ever-changing SEC enforcement and regulatory regime, representing clients in all aspects of securities law enforcement.
From complex “bet the company” investigations and litigation to preventive compliance and targeted training of investment professionals and corporate officials, clients trust Gibson, Dunn & Crutcher’s Securities Enforcement group for its deeply experienced team and track record of success. Client groups include:
Our lawyers have garnered group and individual honors. Chambers twice bestowed the Chambers USA Award for Excellence on the team in the Securities Enforcement and Regulation category, noting that Gibson Dunn “enjoys a reputation as having one of the strongest … enforcement practices in the USA” and “is engaged in some of the most challenging and significant matters of recent times.” In addition, in November 2014 Law360 honored two of our lawyers with its “MVP of the Year Award” in the Securities category.
The Securities Enforcement group has been involved in many of the largest federal and state regulatory investigations concerning:
Our Securities Enforcement team is led by former high-ranking lawyers with the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice and the Financial Industry Regulatory Authority (FINRA). Following the subprime crisis and new legislation, Gibson Dunn was the first defense firm to establish a multidisciplinary whistleblower team to advise clients on the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act.
Gibson Dunn distinguishes itself by its record of actual litigation wins and deep investigatory experience. We have extensive proficiency in conducting highly sensitive and time-critical internal investigations involving entities that are simultaneously undergoing regulatory, U.S. congressional and media scrutiny. Our team of former regulators and prosecutors can effectively guide a firm or individual through multifaceted securities enforcement investigations that have both civil and potential criminal dimensions.
Gibson, Dunn & Crutcher’s Commodities and Derivatives Enforcement group has substantial experience handling Commodity Futures Trading Commission (CFTC) enforcement investigations as well as defending claims brought under the Commodity Exchange Act by the CFTC and private plaintiffs, including class actions. The group brings together the firm’s unmatched trial capabilities, global government investigation experience, substantive knowledge and cross-disciplinary expertise. Our lawyers bring a keen understanding of exchange-traded and over-the-counter (OTC) derivatives and physical commodity products, their markets, and their regulatory oversight regimes. Many of them have substantial experience working at regulatory and law enforcement agencies, including the CFTC, the U.S. Department of Justice (DOJ), Federal Energy Regulatory Commission (FERC), and Securities and Exchange Commission (SEC). Our firm’s reach allows us to handle all aspects of these often highly complex matters, which can simultaneously include foreign and domestic governmental criminal and regulatory actions, multijurisdictional civil litigation, and U.S. Congressional investigations. Our Commodities and Derivatives Enforcement lawyers have deep cross-disciplinary proficiency, and they regularly work with our Derivatives team’s regulatory lawyers, who counsel clients on all aspects of derivatives regulation and compliance. Our lawyers also have comprehensive capabilities and familiarity drafting and challenging rules promulgated under the Commodity Exchange Act and the Dodd-Frank reforms.
Our Commodities and Derivatives Enforcement group has three key strengths.
First, we try cases. The American Lawyer named Gibson Dunn its 2020 Litigation Department of the Year, recognized as the “best of the best.” This unprecedented achievement was the firm’s fourth win in the last six years of the publication’s biennial “Litigation Department of the Year” competitions, and the sixth time in a row the firm has been a finalist. We achieved that distinction because our lawyers regularly try cases, especially complex ones involving interrelated law enforcement, regulatory and civil litigation.
Second, we have a global reach. Gibson Dunn has vibrant offices worldwide, but of particular importance to commodity and derivatives matters, we have a leading litigation presence in London, the seat of so much commodity and derivatives trading.
Finally, our lawyers have many decades of combined experience in government enforcement and litigation against the CFTC, DOJ, U.S. Federal Trade Commission, UK regulators, and others. Our lawyers’ knowledge of how government agencies conduct investigations and prosecute enforcement actions enables them to assist our clients in navigating those processes successfully.
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