Mayer Brown has one of the largest and most diverse securities enforcement and investigations practices in the world. With more than 40 lawyers (many of whom are former securities regulators, government prosecutors and senior law enforcement officials) counseling clients from our global offices, we offer “on-the-ground” securities enforcement representation in the leading financial centers of Europe, Asia and the United States.

While we often take charge of a representation at the first sign of regulatory interest, clients also retain us near the culmination of an investigation to assess their litigation options, to vigorously defend against enforcement proceedings in court or before regulatory tribunals, or to negotiate favorable resolutions. Because many of our team previously served in top positions at the US Department of Justice (DOJ), the US Securities and Exchange Commission (SEC) and other regulatory agencies, we are able to defend all aspects of any criminal or enforcement action, from the onset of an inspection, examination or investigation through the grand jury stage, to the administrative proceeding, trial and appeals.

Clients get an insider’s defense strategy from team members who have served as:

• Branch Chief, Senior Counsel, Deputy Chief Litigation Counsel and Associate Director in the SEC’s Division of Enforcement

• Director and Chief Counsel in NASD’s (now FINRA) Enforcement Department

• Attorney seconded to the UK Financial Services Authority

• Assistant US Attorney in key jurisdictions nationwide

• Deputy Assistant Attorney General and Deputy Solicitor General in the DOJ

As financial transactions increasingly transcend international borders and securities exchanges around the globe, and as capital markets continue to converge, Mayer Brown lawyers are fully prepared to respond to enhanced scrutiny, investigation and enforcement initiatives that are increasingly pursued beyond home country geographical boundaries. We have been active in parallel multinational investigations and litigation, and have dealt with the complex cross-border issues implicated when handling simultaneous matters brought by a company or an individual's home regulatory authority and another nation's regulator. Lawyers in our group have assisted clients in handling simultaneous cross-border investigations and litigation by the civil and criminal authorities of several nations.

Working with colleagues throughout the firm from a variety of transactional, regulatory and dispute resolution disciplines, we offer comprehensive compliance and enforcement assistance whenever and wherever it is needed. Our lawyers are capable investigators, negotiators and advocates who handle the full range of complex global regulatory and statutory requirements.