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Investigations Financial Regulatory Enforcement

Law & Forensics helps financial institutions and securities firms respond to investigations and enforcement actions brought by the SEC, CFTC, OCC, and Treasury Department. Our team, which includes former SEC senior attorneys and federal investigators, combines forensic analysis with enforcement-defense experience to manage regulatory exposure and resolve matters on favorable terms.

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What we do

  • Regulatory Investigation Support

    We support responses to investigations and enforcement actions by financial regulators, including regulatory document review, witness preparation, and the technical investigation of alleged violations such as market manipulation, insider trading, and anti-money laundering breaches.

  • Trading and Communications Analysis

    We analyze trading records, communications, and trading systems to identify the specific transactions at issue and reconstruct the conduct underlying a regulatory inquiry.

  • Internal Investigations and Compliance Review

    We conduct internal investigations to identify compliance failures, examining policies, control procedures, and supervisory processes to assess remediation needs and evaluate the organization's response to regulatory requirements.

  • Former Regulator and Prosecutor Expertise

    Our experts include former SEC senior attorneys and federal investigators who held leadership roles prosecuting securities fraud, FCPA violations, crypto asset enforcement, and complex financial crimes, directing investigations into broker-dealer implosions, multinational bribery schemes, market manipulation, and insider trading.

  • Enforcement Defense and Settlement Strategy

    We use detailed investigations and expert analysis to support settlement negotiations, prepare response submissions, and develop enforcement defense strategies tailored to banking, securities, and derivatives markets.

Frequently asked questions

Which regulators do you support clients before?

We support financial institutions and securities firms responding to investigations and enforcement actions by the SEC, CFTC, OCC, and Treasury Department across banking, securities, and derivatives markets.

What types of alleged violations do you investigate?

We conduct technical investigations into market manipulation, insider trading, misuse of material nonpublic information, anti-money laundering violations, FCPA and bribery matters, and other regulatory breaches.

What experience does your team bring to enforcement matters?

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, with work resulting in charges and enforcement actions against more than 100 individuals.

How do you support resolution of a regulatory matter?

We analyze trading records, communications, and compliance controls to identify the conduct at issue and evaluate supervisory procedures, then support witness preparation, response submissions, and settlement negotiations while helping firms implement enhanced surveillance and compliance procedures.

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