Securities Enforcement
Meet The Team
SECIL brings together accomplished trial lawyers, former government attorneys, and trusted advisors with deep experience handling investigations, enforcement matters, complex litigation, and regulatory challenges. ›
Who We've Helped
C-Suite
Represented the former vice president of operations of a U.S. software developer in parallel DOJ and SEC investigations into accounting for software sales, resulting in no indictment and no claims against our client.
Corporate directors and officers
Represented the chairman of Royal Dutch Shell’s Committee of Managing Directors in joint investigations by the DOJ, SEC, and UK Financial Services Authority and private securities class action litigation related to alleged fraud and other charges against the company. No charges were filed in any jurisdiction against our client and the client was dismissed from the class action cases.
Broker-dealer executives
Represented an assistant general counsel of a regional broker-dealer in a Financial Industry Regulatory Authority investigation into sales practices for variable annuities; no charges were brought against our client.