Securities: Regulation: Enforcement
USA Guide 2024 : USA - Nationwide
Band 4
Contact number
+1 212 728 8000About
Provided by Willkie Farr & Gallagher LLP
Please see: https://www.willkie.com/capabilities/practices/litigation/securities-litigation-and--enforcement
Chambers Review
Willkie Farr & Gallagher LLP has a respected group of regulatory lawyers catering to asset management and financial services clients facing securities litigations, enforcement actions and investigative proceedings. Offers specialist expertise in accounting and disclosure issues as well as financial fraud. Regularly works with asset managers, corporations and broker-dealers, and has a proven track record of defending senior employees including executives, hedge fund principals and traders under investigation by the SEC.
Work Highlights
- Willkie Farr & Gallagher LLP represented The Options Clearing Corporation in a second set of SEC and CFTC investigations into its compliance with its SEC-approved stress testing and clearing fund methodology rules.
Strengths
Provided by Chambers
"The firm is commercial in its guidance in the rapidly evolving regulatory environment."
"The securities regulatory team analyzes issues how a regulator would and provides confident advice that clients can use."
"Willkie has depth and expertise in handling these matters."
"The Willkie team brings the necessary intelligence, sophistication, and experience to handle complex matters."
"The partners are incredibly knowledgeable of the issues and fully understand the regulators perspective."
"The firm is commercial in its guidance in the rapidly evolving regulatory environment."
"The securities regulatory team analyzes issues how a regulator would and provides confident advice that clients can use."
"Willkie has depth and expertise in handling these matters."
"The Willkie team brings the necessary intelligence, sophistication, and experience to handle complex matters."
"The partners are incredibly knowledgeable of the issues and fully understand the regulators perspective."
Notable Practitioners
Elizabeth Gray wins plaudits from clients for her work in enforcement matters before the SEC, CFTC and other bodies. She acts for leading broker-dealers, investment advisers and funds.
"Elizabeth isa senior attorney who brings value for the client and is dedicated to getting the best result possible."
Amelia Cottrell frequently acts on behalf of individual clients in high-stakes SEC investigations. She is also sought by companies for her representation in a range of securities enforcement proceedings.
"Amelia is a wonderful lawyer."
Ranked Lawyers at
Willkie Farr & Gallagher LLP
USA - Nationwide