Securities Enforcement & Regulatory Counseling
A recognized national leader in securities enforcement defense and broker-dealer and investment adviser regulatory counseling, McGuireWoods’ SERC team manages securities investigations at every stage. From informal inquiries and routine exams to investigations, litigation and appeals, the team stands at the forefront of developing issues confronting the securities industry.
The group is anchored by former U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority attorneys from enforcement, exams and trading and markets, as well as prominent former federal prosecutors.
The team’s experience — spanning government, in-house and private practice — allows us to guide broker-dealers and investment advisers through a range of regulatory and compliance issues. Our lawyers represent corporate clients, as well as broker-dealers and investment advisers, in matters before the U.S. Department of Justice, SEC, FINRA and state securities regulators and attorneys general.
The team has strong relationships with key industry trade associations and collaborates with them on industrywide issues impacting clients.
How We Help
Securities Investigations
Securities Litigation
Regulatory Counseling
Representative Matters
McGuireWoods’ Securities Enforcement & Regulatory Counseling Practice Group leverages decades of industry experience and regulatory knowledge to deliver strategic, practical and results-driven guidance that helps clients navigate government investigations, enforcement actions and regulatory challenges in the securities industry.
Nationwide ranking for financial services regulation: broker-dealer (compliance and enforcement).
– Chambers USA
Recognized twice as a White Collar Practice Group of the Year.
– Law360
