Securities: Regulation: Enforcement
USA Guide 2024 : USA - Nationwide
Band 4
Email address
[email protected]Contact number
+1 617 951 7000About
Provided by Ropes & Gray LLP
With a global team of more than 100 enforcement attorneys, including former SEC attorneys and federal prosecutors from the U.S. Department of Justice (DOJ) and many U.S. Attorney’s Offices, we understand the complexities of both the financial products of today’s markets and interfacing with the government. Our enforcement and regulatory attorneys have extensive experience handling the most significant securities and futures enforcement initiatives.
We have represented clients before every SEC office, the DOJ, the Commodities Futures Trading Commission (CFTC), the CME, the Financial Industry Regulatory Authority (FINRA), the Intercontinental Exchange (ICE), the National Futures Association (NFA) and many other self-regulatory organizations.
Chambers Review
Ropes & Gray LLP houses a highly capable team with impressive strength in the representation of private equity firms in SEC investigations and enforcement proceedings. Also acts for mutual funds, hedge funds and financial institutions in matters relating to disclosure and trading. Often represents large corporations in the technology and life sciences space. It boasts a well-regarded advisory practice, working with investment advisers, private equity firms and hedge funds in relation to SEC filings, securities offerings and corporate governance.
Strengths
Provided by Chambers
"The team is practical, commercial and strikes a good balance providing practical regulatory legal advice."
"The firm is outstanding with its command of the facts, understanding of the legal issues and strategy."
"The team's sharp analytical skills and exceptional ability to strategize and find innovative solutions offers clarity and guidance in even the most complex cases."
"Ropes & Gray's team is smart, organized and communicative and they deliver well-rounded advice."
"Ropes has a strong bench and the team anticipates client needs."
"The team is practical, commercial and strikes a good balance providing practical regulatory legal advice."
"The firm is outstanding with its command of the facts, understanding of the legal issues and strategy."
"The team's sharp analytical skills and exceptional ability to strategize and find innovative solutions offers clarity and guidance in even the most complex cases."
"Ropes & Gray's team is smart, organized and communicative and they deliver well-rounded advice."
"Ropes has a strong bench and the team anticipates client needs."
Notable Practitioners
Eva Ciko Carman handles SEC examinations and investigations on issues ranging from insider trading to accounting fraud. She regularly handles matters for leading asset management firms and investment funds.
"Eva provides terrific guidance for clients navigating SEC and DoJ matters. She is a really great counselor."
"She is a very good lawyer, she thinks creatively with fresh approaches."
Daniel O'Connor regularly guides his clients, including public companies, private equity firms and asset managers, through SEC and internal investigations on issues ranging from accounting and disclosure concerns to insider trading allegations.
"Dan provides very thorough and meticulous work."
Ranked Lawyers at
Ropes & Gray LLP
USA - Nationwide