Practice Areas: SEC Enforcement Defense

McGuireWoods represents institutions and individuals in a range of investigations and prosecutions involving federal and state securities laws. Our SEC enforcement defense attorneys have decades of cumulative experience defending international and domestic corporations and accounting firms, as well as officers, directors and auditors in a variety of high profile, complex matters.

These matters have included: investigations and prosecutions brought by the SEC; investigations by self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA, formerly NASD and certain areas of the NYSE); and actions brought by numerous state regulatory organizations and state attorneys general.