Faegre Drinker’s “Enforcement Highlights” blog offers posts and other communications to shed light on the sometimes aggressive and opaque nature of the enforcement activities of financial regulators such as the SEC, CFTC, FINRA, PCAOB, States, Exchanges, and FCA. Enforcement Highlights is led by Faegre Drinker attorneys with decades of collective experiences on the staff of the SEC and FINRA, who have a proven track record of successfully defending clients in enforcement investigations. They draw from these experiences to share insights to proactively assist and educate their readers on the murky world of financial regulatory enforcement.
These attorneys lead Faegre Drinker’s SEC & Regulatory Enforcement Group, which is part of the firm’s White Collar Defense and Investigations Team. This group defends companies, investment advisers, broker-dealers, hedge funds, trading firms, other financial services firms, audit committees, officers and directors, and accounting firms in connection with investigations and litigation (through trial) by the SEC and other financial regulatory enforcement bodies. The attorneys in this group also lead internal investigations, defend complex financial services and class action litigation, handle cybersecurity regulatory investigations, defend parallel criminal investigations by the Department of Justice, serve as independent monitors, and draw from their experiences to provide counsel on corporate governance, regulatory compliance, and policy issues. The group includes SEC alumni who collectively served the agency for over 20 years, including as a former Deputy Assistant Director, Senior Trial Counsel, as Branch Chiefs, and as Staff Attorneys in the Division of Enforcement, as well as former federal prosecutors with decades of experience trying white collar cases.
Thomas Kelly Jr.