Securities: Regulation: Enforcement
USA Guide 2024 : USA - Nationwide
Band 3
Contact number
+1 404 572 4600Chambers Review
King & Spalding LLP has a strong bench of go-to enforcement attorneys with notable regulatory capabilities. Fields a number of experts on federal securities law who are well versed in proceedings before the DOJ, SEC, FINRA and CFTC. Offers a notably broad practice, with strengths in the handling of whistle-blower retaliation investigations, accountancy fraud and the representation of credit rating agencies. Frequently acts for financial institutions, multinational corporations and senior executives.
Work Highlights
- King & Spalding LLP represented Philip Jacoby, the former CFO of Osiris, in a civil securities fraud action in the District of Maryland. The lawsuit included allegations of accounting and disclosure violations.
Strengths
Provided by Chambers
"The firm is resourceful, responsive and attentive to client needs."
"King & Spalding provides outstanding service."
"It is a very knowledgeable team with relevant depth and breadth. They are extremely strong."
"The King & Spalding team understands how legal implications impact business."
"The firm is resourceful, responsive and attentive to client needs."
"King & Spalding provides outstanding service."
"It is a very knowledgeable team with relevant depth and breadth. They are extremely strong."
"The King & Spalding team understands how legal implications impact business."
Notable Practitioners
Dixie Johnson is a respected regulatory practitioner who regularly handles enforcement actions by the DOJ and SEC on behalf of clients such as asset managers, banks and public companies.
"She is incredibly responsive and diligent."
"Dixie is authoritative on the law and takes control of situations to do right by the client."
"She brings with her extensive regulatory and agency knowledge."
Carmen Lawrence represents public companies and investment advisers in SEC inquiries and internal investigations. She is particularly strong on accounting and disclosure, as well as MBS-related matters.
"Carmen is amazing."
"She is a real force in front of a board."
Alexander Koch is coleader of the firm's securities enforcement and regulation practice. He handles sensitive SEC investigations for clients ranging from huge public companies in the life sciences sector to large accounting firms. He is well versed in whistle-blower retaliation matters, as well as accounting fraud and corruption.
"Alec has tremendous judgment and analytical skills."
"Alec is wonderful."
Richard Walker draws upon impressive in-house and governmental experience to represent major corporate clients in connection with a range of enforcement proceedings and SEC investigations.
Ranked Lawyers at
King & Spalding LLP
USA - Nationwide