Securities Enforcement

The securities enforcement team at McGuireWoods features a seasoned group of practitioners with extensive experience in private practice and in government. McGuireWoods regularly represents public companies, broker-dealers, investment advisers, hedge funds, accounting firms and their officers, directors and employees in the full spectrum of investigations and proceedings initiated by the SEC, PCAOB, FINRA, DOJ, Congress, state regulators and attorneys general, and other government agencies.

We also counsel public companies and regulated entities on securities law and other regulatory issues, and help clients design, build, implement and assess compliance programs and corrective measures to prevent future violations of law and corporate policy. This depth of experience, combined with our breadth of knowledge of industry practices and regulations, is key to our proven track record of success.

Regardless of the type of matter under investigation, McGuireWoods can help. Areas in which we have significant experience include:

  • Financial disclosures
  • Broker-dealer sales practices
  • Securities offerings
  • Securities and broker-dealer registration
  • Financial fraud
  • Foreign Corrupt Practices Act
  • Market manipulation and trading practices
  • Ponzi schemes
  • Insider trading
SEC Enforcement Defense 95090771

CONTACTS

Results 1-2 of 2
Representative Matter

Enron Shareholders Drop Suits Against Banks

Representation of Toronto-Dominion Bank in connection with the successful dismissal of securities fraud claims filed by former Enron Corp. shareholders.
Representative Matter

Bank Representation in Allen Stanford Ponzi Scheme

Representation of a large international financial institution in connection with regulatory investigations and litigation related to the Allen Stanford Ponzi scheme.
Results 1-2 of 2
Michael Baudinet Michael A. Baudinet
Associate
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

T: +1 804 775 1139
F: +1 804 698 2199
vCard
Jeffrey J Chapman Jeffrey J. Chapman
Partner
1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 212 548 7060
F: +1 212 715 6277
vCard
C. Simon Davidson C. Simon Davidson
Counsel
Court Square Building
310 Fourth Street, N.E.
Suite 300
Charlottesville, VA 22902-1288

T: +1 434 977 2533
F: +1 434 980 2260
vCard
James C Freije James C. Freije
Attorney
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 1702
F: +1 202 828 3314
vCard
Daniel Goldfried Daniel A. Goldfried
Partner
1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 212 548 2166
F: +1 212 715 6266
vCard
Emily P. Gordy
Partner
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 2449
F: +1 202 828 3305
vCard
Louis Greenstein Louis D. Greenstein
Partner
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 202 857 2415
F: +1 202 828 3310
vCard

T:+1 212 548 7068
F: +1 212 548 2150

Cheryl Haas Cheryl L. Haas
Partner
Promenade
1230 Peachtree Street, N.E.
Suite 2100
Atlanta, GA 30309-3534

T: +1 404 443 5726
F: +1 404 443 5777
vCard
Jeffrey M Hanna Jeffrey M. Hanna
Partner
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

T: +1 804 775 1001
F: +1 804 698 4671
vCard
Craig R Haughton Craig R. Haughton
Associate
1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 212 548 2157
F: +1 212 715 2318
vCard
Wen Hutchinson William O. L. Hutchinson
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2008
F: +1 704 353 6219
vCard
Noreen Kelly Noreen Kelly
Partner
1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 212 548 7025
F: +1 212 715 6290
vCard
Lucier_Casey Casey Erin Lucier
Associate
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

T: +1 804 775 7695
F: +1 804 698 2153
vCard
Nathan Pittman Nathan R. Pittman
Associate
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 2469
F: +1 202 828 3317
vCard
Chillaine Reid Ghillaine A. Reid
Partner
1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 212 548 7041
F: +1 212 715 6264
vCard
James A Sherman James A. Sherman
Attorney
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 828 2889
F: +1 202 828 2972
vCard
Michael L Simes Michael L. Simes
Partner
1251 Avenue of the Americas
20th Floor
New York, NY 10020-1104

T: +1 212 548 7013
F: +1 212 715 6260
vCard
Darren William Stanhouse Darren W. Stanhouse
Senior Counsel
434 Fayetteville Street
Suite 2600
Raleigh, NC 27601

T: +1 919 755 6667
F: +1 919 755 6618
vCard
Samantha E Thompson Samantha E. Thompson
Attorney
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 828 2830
F: +1 202 857 1737
vCard
Cristin K Traylor Cristin K. Traylor
Counsel
Gateway Plaza
800 East Canal Street
Richmond, VA 23219-3916

T: +1 804 775 4354
F: +1 804 698 2216
vCard
Molly White Molly M. White
Partner
1800 Century Park East
8th Floor
Los Angeles, CA 90067-1501

T: +1 310 956 3423
F: +1 310 956 3143
vCard
Results 1-4 of 4
Speaking Engagement

Compliance and Legal Society Annual Seminar

March 19-22
San Diego, CA
Event

SEC Compliance and Disclosure Update

January 26, 2016
Complimentary Webinar Series
Event

Hot Topics for the 2016 Proxy/Annual Reporting Season

November 17, 2015
Complimentary Webinar Series
Event

SEC Compliance and Disclosure Update

October 27, 2015
Complimentary Webinar Series
Results 1-4 of 4
Results 1-20 of 73
Show All
Legal Alert

Beware What You Share: Privilege Waiver Risks in Investigations

Subject to Inquiry
January 18, 2018
Legal Alert

The SEC Refocuses on Retail Investors

December 14, 2017
Legal Alert

SEC Approves New PCAOB Auditor Reporting Standards

Subject to Inquiry
November 6, 2017
Legal Alert

Securities and Enforcement Update

SEC Focusing on Investment Adviser and Broker-Dealer Standards of Conduct

September 29, 2017
Legal Alert

U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders

Subject to Inquiry
June 6, 2017
Legal Alert

Will 2017 Be the Year of Insider Trading Reform?

Subject to Inquiry
March 9, 2017
Legal Alert

Congress Votes to Disapprove SEC’s Resource Extraction Disclosure Rule

Subject to Inquiry
February 7, 2017
Legal Alert

SEC Annual Exam Guidance: Cybersecurity, Robo-Advising, and Retirement

Subject to Inquiry
January 27, 2017
Legal Alert

SEC: $7 Million Award to be Split by Three Whistleblowers

Subject to Inquiry
January 26, 2017
Results 1-20 of 73