Laura Wertheimer is a partner in the firm's Securities Department, and a member of the Securities Litigation and Enforcement Practice Group. She joined the firm in 2003. Ms. Wertheimer represents public companies, audit committees, special committees, individual directors and officers, accountants and lawyers in civil and criminal securities law enforcement investigations by the SEC and DOJ, regulatory and criminal nonpublic inquiries by other agencies, including the OCC and FDIC, and cross-border regulatory proceedings. She conducts time-sensitive internal investigations of possible misconduct for clients and counsels clients on corporate governance and compliance issues.
Ms. Wertheimer has a proven record of handling complex, high stakes matters relating to the enforcement of the federal securities laws, corporate governance and corporate compliance, and of advising clients facing franchise-threatening crises.
She regularly conducts sensitive internal investigations on behalf of corporations, board audit committees, board special committees, and general counsels on a broad range of securities-related issues, including investigations of whistleblower claims by individuals and unions, insider trading, improper foreign payments, stock option backdating, accounting irregularities, financial reporting and disclosure issues, and breaches of fiduciary duty. She counsels clients on practical strategies to enhance existing compliance policies, programs and controls to avoid or reduce the threat of a regulatory crisis and mitigate existing liability risks. She advises clients on a spectrum of corporate governance matters, including composition and responsibilities of boards and their committees, D&O indemnification and insurance coverage, and governance policies and committee charters.