At BakerHostetler, the more than 40 attorneys in our Securities Litigation and Regulatory Enforcement practice take a broad, big picture approach to securities law by looking beyond the issue at hand to provide clients with comprehensive legal advice and advocacy. Our team consists of forward-looking attorneys who think outside the box to see the multi-faceted layers of a legal issue and devise creative legal solutions designed to get our clients the best result possible.
We have a consistent track record of success representing public and private issuers, partnerships, closely-held corporations, and directors and officers in connection with securities litigation in federal and state courts across the country.
When a client is facing a government inquiry or investigation, our calculated strategic approach seeks to eliminate or minimize charges with the SEC, CFTC, and FINRA. Our team includes former regulators and government lawyers, and we draw on our personal experience and knowledge regarding the legal tactics of government regulatory agencies to proactively chart the appropriate course of action for those under investigation.
We regularly conduct internal reviews and defend investigations for public companies, boards and committees, broker-dealers, and hedge funds on a number of issues, such as SOX 404 internal controls, insider trading and Regulation FD, FCPA compliance, mutual fund market timing/late trading, hedge fund market manipulation, and portfolio valuations. Our insight and guidance helps clients find appropriate remedial solutions to mitigate adverse business consequences.
We serve as a trusted advisor and partner for our broker-dealer and hedge fund clients. We advise and counsel our clients in connection with their marketing materials, investment and operating strategies and management agreements. We represent our clients before Congress and monitor congressional committees charged with supervising and regulating their activities. Our clients turn to us for assistance in crafting policies and procedures, compliance and employee manuals, as well as advising on internal controls, regulatory filings, regulator examinations and compliance with the Investment Advisers Act of 1940.
Not only are we outstanding legal advisors, but we are highly skilled crisis management attorneys. Often times, the initial stages of a crisis are the most crucial and our attorneys go to great lengths to contain legal and business fallout and investigations through immediate and effective communications with regulators, the client’s constituents, and the media. Because we understand the high stakes that are involved with securities litigation and government investigations, we are able to carefully navigate the complex legal maze and help our clients achieve the best possible outcome.