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Book

Securities Investigations: Internal, Civil and Criminal

August 2014
Mayer Brown Book

Edited by Steven Wolowitz, Richard Rosenfeld, and Lee Rubin


The Second Edition, Release #4 of the Securities Investigations: Internal, Civil and Criminal is a practice-oriented reference for practitioners who need to know not only the most recent law governing internal, civil, and criminal investigations involving potential violation of the securities laws, but also the nuances and practical tips that can only be shared by lawyers deeply experienced in such investigations.

The treatise is authored by Mayer Brown’s experienced team of legal practitioners who have collectively handled hundreds of securities law investigations and proceedings, ranging from internal investigations of minor problems identified by robust corporate compliance programs to high-profile criminal prosecutions. The treatise is a go-to resource that addresses enforcement efforts and response strategies, followed by discussions of relevant substantive legal provisions.

Topics include:

  • Overview of Federal, State and SRO Securities Enforcement Efforts: Strategies for Responding to Multiple Investigations and Related Actions
  • Civil Enforcement of Federal Securities Laws - Substantive Violations
  • Criminal Statutes Charged in Securities Cases
  • Organizational Sentencing Guidelines
  • The Role of Corporate Internal Investigations
  • Conducting Internal Investigations
  • Attorney-Client and Work Product Considerations in Internal Investigations
  • Defending Grand Jury Investigations
  • Defending an SEC Investigation
  • Cooperation in SEC and DOJ cases
  • The SEC's Office of Compliance Inspections and Examinations
  • FINRA Investigations
  • Cross-Border Regulation of Financial Markets
  • The FCPA: Enforcement by the SEC
  • Dealing with Parallel Actions
  • Representing Individuals in Securities Investigations
  • Communication with the Company's Auditor in a Securities Investigation
  • Employment Issues in Securities Investigations

For more information about Mayer Brown’s Litigation team, please click here.

Authors

  • Marcus A. Christian
    T +1 202 263 3731
  • Mark Compton
    T +44 20 3130 3388
  • Joseph De Simone
    T +1 212 506 2559
  • J. Gregory Deis
    T +1 312 701 8035
  • Reginald R. Goeke
    T +1 202 263 3241
  • Marcia E. Goodman
    T +1 312 701 7953
  • Mark G. Hanchet
    T +1 212 506 2695
  • Ethan A. Hastert
    T +1 312 701 7656
  • Christopher J. Houpt
    T +1 212 506 2380
  • Matthew D. Ingber
    T +1 212 506 2373
  • Kelly B. Kramer
    T +1 202 263 3007
  • Lori E. Lightfoot
    T +1 312 701 8680
  • Michael Martinez
    T +1 212 506 2514
  • Brian J. Massengill
    T +1 312 701 7268
  • William Michael Jr.
    T +1 312 701 7653
  • Stephanie M. Monaco
    T +1 202 263 3379
  • Jerome J. Roche
    T +1 202 263 3773
  • Richard M. Rosenfeld
    T +1 212 506 2178
  • Matthew Rossi
    T +1 202 263 3374
  • Lee H. Rubin
    T +1 650 331 2037
  • Richard A. Spehr
    T +1 212 506 2578
  • Laurence Urgenson
    T +1 202 263 3280
  • Steven Wolowitz
    T +1 212 506 2535
  • Matthew Bisanz
    T +1 202 263 3434
  • Robert E. Entwisle
    T +1 312 701 8151
  • Laura R. Hammargren
    T +1 312 701 8146
  • Adam D. Kanter
    T +1 202 263 3164
  • Natalie K. Kissinger
    T +1 312 701 7736
  • Justin A. McCarty
    T +1 312 701 8718
  • Richard E. Nowak
    T +1 312 701 8809
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