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Litigation

Securities Enforcement

Our lawyers have defended public companies, management, broker-dealers and auditors in over 100 SEC, FINRA and state regulatory investigations. Our defenses have involved insider trading, short-swing sales, market manipulation, revenue recognition, loss reserve calculations, management discussion and analysis, broker-dealer sales practices and suitability.

Our objective is to achieve favorable resolutions of enforcement investigations through advocacy with the SEC and FINRA staffs. The history and credibility of our lawyers in interfacing with enforcement counsel has helped us obtain early resolution in numerous cases. Most of our matters end without a charge against our clients or with a favorable settlement. When litigation is unavoidable, our team brings decades of experience in litigating charges in agency forums and federal courts.

A major component of all modern enforcement actions is the management and production of electronic data. Our defenses emphasize the importance of a thorough and professional presentation of electronic data. Vorys’ in-house litigation technology group has extensive experience complying with SEC and FINRA document delivery standards, which results in significant savings in matters involving large electronic databases and enhances the opportunities to resolve the matter favorably.