Securities Enforcement

Securities Enforcement

Fenwick & West’s securities enforcement group represents public companies and other regulated entities and their boards, officers and employees in investigations or proceedings by the Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ) and other governmental and self-regulatory agencies. We also conduct high-stakes and often time-sensitive internal investigations for public and private multinational corporate boards and management in response to possible insider trading, accounting fraud, Foreign Corrupt Practice Act (FCPA) violations or other alleged misconduct.

Our practice includes former SEC and DOJ lawyers and other seasoned practitioners with decades of experience representing clients in bet-the-company enforcement and defense matters. We leverage the extensive regulatory experience of our colleagues throughout the firm, providing key strategic and practical insight to benefit our clients – both in responding to investigations and in proactively anticipating and addressing potential issues for our clients before they become problems.

We have extensive experience representing clients in technology, life sciences and retail industries as well as financial institutions including mutual funds, hedge funds and private equity funds. We also advise boards of directors and senior management on compliance, remediation and crisis management. Our lawyers are recognized as leading practitioners in securities regulation and enforcement by Chambers USA, The Legal 500 and other industry observers, and work closely with our securities litigation and white collar & regulatory defense groups to handle a wide range of matters in dynamic regulatory environments.

Fenwick & West’s securities litigation practice has been ranked as one of the country’s best by Chambers USA in 2015, 2016 and 2017.

“Fenwick’s high-quality practice is often called upon by Silicon Valley-based technology companies to assist with a wide variety of securities disputes, and is particularly noted for its in-depth experience in handling post-IPO class action claims. Wider areas of strength include class actions and shareholder derivative claims, alongside expertise in regulatory investigations and defending enforcement actions.” – Chambers USA, 2017