Financial Regulatory Enforcement and Compliance Response
Law and Forensics supports financial institutions and securities firms in responding to investigations and enforcement actions by financial regulators including the SEC, CFTC, OCC, and Treasury Department. We assist with regulatory document review, witness preparation, trading record analysis, and technical investigation of alleged violations involving market manipulation, insider trading, violations of anti-money laundering rules, or other regulatory breaches.
Our team conducts internal investigations to identify compliance failures, assess remediation needs, and support defense of regulatory charges. We examine communications, trading systems, compliance policies, and control procedures to evaluate the organization’s response to regulatory requirements. Our experts include former SEC senior attorneys and federal investigators who served in leadership roles prosecuting securities fraud, FCPA violations, crypto asset enforcement, and complex financial crimes, resulting in criminal charges and enforcement actions against more than 100 individuals. These professionals have directed investigations into implosions of broker-dealers, multinational bribery schemes, market manipulation involving publicly traded companies, insider trading by corporate insiders, and misuse of material nonpublic information. Our detailed investigations and expert analysis support negotiation of settlements, preparation of response submissions, and development of enforcement defense strategies.
We have worked extensively with financial services firms and understand the regulatory landscape applicable to banking, securities, and derivatives markets.
Case Study
- Problem: A mid-size broker-dealer faced an SEC enforcement inquiry into potential market manipulation and needed internal investigation support.
- Action: Our team analyzed trading records, communications, and compliance controls, identifying the specific transactions at issue and evaluating the firm’s supervisory procedures.
- Result: Our former SEC attorneys supported witness preparation and settlement negotiations, helping the firm resolve the matter on favorable terms while implementing enhanced surveillance procedures.
Contact Law and Forensics For:
Comprehensive Support in Financial Regulatory Investigations and Enforcement Actions
Webinars and Courses
Why Choose Law & Forensics?
At Law & Forensics, we understand that the success of your forensic investigation efforts depends on more than just technology and processes. It requires a deep understanding of the legal and regulatory landscape and a commitment to delivering exceptional client service.
Here are some reasons why we believe we are better than our competitors:
Experience and Expertise
Our team of experts has decades of experience in forensic consulting and strategy, enabling us to provide our clients with best-in-class service and advice.
Technology and Innovation
We are constantly innovating and investing in technology to ensure that we are at the forefront of the industry. Our proprietary technology and workflows enable us to process and review large volumes of data efficiently and cost-effectively.
Communication and Transparency
We believe that communication and transparency are essential to the success of any forensic project. That's why we provide our clients with regular updates and clear, concise reporting throughout the project lifecycle.
Customized Solutions
We understand that every case is unique, and we tailor our services to meet the specific needs of our clients. We work closely with our clients to understand their goals and develop customized solutions for their needs and budgets.
Exceptional Client Service
Law & Forensics is committed to delivering exceptional client service. Our team is always available to answer questions, provide guidance, and address any concerns that may arise during the project.