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Book

Securities Investigations: Internal, Civil and Criminal

August 2012
Practising Law Institute

Published by Practising Law Institute

Edited by Steven Wolowitz, Richard Rosenfeld, and Lee Rubin


The new Second Edition of 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 provides an overview of enforcement efforts and response strategies, followed by discussions of relevant substantive legal provisions, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002; an examination of internal investigations, including SEC, DOJ, and FINRA Guidance, and issues under the attorney-client privilege and the work product doctrine; a detailed review of the types of securities investigations, including SEC and FINRA investigations, and issues under cross-border regulation and the Foreign Corrupt Practices Act; and an in-depth examination of the various issues applicable to all types of securities investigations, including whistleblower protection under the Dodd-Frank Wall Street Reform and Consumer Protection Act and privacy considerations.

Authors

  • James Ancone
    Associate
    T +1 212 506 2353
  • Joseph De Simone
    T +1 212 506 2559
  • Robert E. Entwisle
    T +1 312 701 8151
  • Tyrone C. Fahner
    T +1 312 701 7062
  • Reginald R. Goeke
    T +1 202 263 3241
  • Marcia E. Goodman
    T +1 312 701 7953
  • Mark G. Hanchet
    T +1 212 506 2695
  • Christopher J. Houpt
    T +1 212 506 2380
  • Matthew D. Ingber
    T +1 212 506 2373
  • Adam D. Kanter
    T +1 202 263 3164
  • Natalie K. Kissinger
    T +1 312 701 7736
  • Lori E. Lightfoot
    T +1 312 701 8680
  • Brian J. Massengill
    T +1 312 701 7268
  • Justin A. McCarty
    T +1 312 701 8718
  • William Michael Jr.
    T +1 312 701 7653
  • Stephanie M. Monaco
    T +1 202 263 3379
  • Fred W. Reinke
    T +1 202 263 3359
  • Brad A. Resnikoff
    T +1 202 263 3110
  • Lee H. Rubin
    T +1 650 331 2037
  • Jeffrey M. Strauss
    T +1 312 701 7324
  • Richard A. Spehr
    T +1 212 506 2578
  • Michelle N. Webster
    T +1 202 263 3714
  • Steven Wolowitz
    T +1 212 506 2535
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