Futures and Derivatives Enforcement SECURITIES

One of the leading enforcement practices featuring a roster of skilled attorneys with experience in key government agencies and offering legal guidance to financial market participants facing regulatory and enforcement challenges.


With the introduction of Dodd-Frank and a continued uptick in regulatory issues and enforcement actions, financial market participants need sound legal guidance to address their business challenges. Identified as one of the leading enforcement practices in the nation, our team defends clients in a broad scope of complex matters, including investigations and enforcement proceedings before the CFTC, SEC, DOJ, NFA, FINRA, and other regulators and self-regulatory organizations. We have earned our reputation in numerous leading-edge and often enterprise-critical enforcement actions. We are recognized consistently for drawing some of the industry’s top talent, and clients turn to the valuable insight of our highly skilled attorneys, many of whom have held senior positions in key government agencies. Our team is bolstered by the experience of a former CFTC general counsel, and the former chief counsel of the CFTC’s Division of Economic Analysis, now the Division of Market Oversight, who served there for more than 20 years.

Experience

Lawyers in WilmerHale’s Futures and Derivatives Enforcement Group advise clients on enforcement matters, investigations, and compliance regarding futures and derivatives, including the recent Dodd-Frank Act regulatory reforms that provide for extensive new regulation of swaps and over-the-counter derivatives markets. We regularly practice before the Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), US Department of Justice (DOJ), National Futures Association (NFA), Financial Industry Regulatory Authority (FINRA), UK Financial Conduct Authority, state securities regulators and attorneys general, state insurance regulators, and other governmental agencies and self-regulatory organizations (SROs).

Identified as one of the leading enforcement practices in the nation, we are well-positioned to defend clients in a broad range of complex matters facing financial market participants, including investigations and enforcement proceedings. We focus on matters ranging from informal inquiries and formal investigations to administrative and judicial enforcement proceedings. WilmerHale’s enforcement practice has earned its reputation in numerous leading-edge and often enterprise-critical enforcement actions.

Clients draw on the valuable insight of our highly experienced attorneys, many of whom have held senior positions in government, and who participate regularly in investigations and matters brought by the CFTC. Our seasoned roster of attorneys includes a former CFTC General Counsel, and a former Chief Counsel of the CFTC’s Division of Economic Analysis, now the Division of Market Oversight. In addition, our attorneys have held senior-level positions within the SEC, including Director and Chief Litigation Counsel of the Division of Enforcement, Director of the Division of Corporation Finance, General Counsel, and Regional Director of the Pacific Regional Office, and have served as Deputy Attorney General and Solicitor General of the DOJ, and General Counsel of the Federal Bureau of Investigation.

We represent financial market participants, including both institutions and individuals, under investigation by the CFTC, SEC, DOJ, NFA, state attorneys general, and other governmental agencies and SROs. We counsel many of the largest domestic and international banks, broker-dealers, private equity firms, hedge funds and end users in a range of enforcement proceedings, inquiries, compliance and other regulatory matters involving derivatives, and with regard to their dealings with the CFTC, NFA, and other regulators and SROs. In addition, we represent issuers; private companies; financial services companies; other market participants, together with their managers, officers, directors and boards; audit committees; and special committees when investigations reveal issues requiring the guidance of experienced counsel.