Morgan Lewis

Securities Industry

Related Events

10/29/14-10/30/14 AICPA FMS National Conference on the Securities Industry New York, NY
Ben A. Indek, panelist
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Related Publications

09/18/14 SEC Targets Corporate Insiders for Failing to Promptly Disclose Stock Transactions
The Commission has announced an unprecedented enforcement initiative against officers, directors, and major stockholders for violating beneficial ownership reporting requirements and against public companies for their roles in contributing to or failing to disclose such violations.
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Morgan Lewis's Securities Industry Practice, one of the largest and most sophisticated in the nation, spans virtually every area of federal and state securities law. Our practice combines the skills and knowledge of more than 100 lawyers in our domestic offices alone, over 20 of whom joined us after distinguished careers at the SEC, many from senior positions. This practice includes a team of regulatory lawyers and litigators who represent leading investment banking and brokerage firms, investment advisers and mutual fund organizations. Our lawyers offer a diverse mix of sophisticated "Wall Street savvy" and veteran regulatory know-how, and our practice has grown steadily to become one of the most substantial in the United States.

Our brokerage clients include many of the nation's best-known, full-service, discount, regional, and online broker-dealers. In the investment management area, we advise clients with assets under management that well exceed $1 trillion. In broker-dealer and securities markets matters, our lawyers have substantial experience in market structure, trading, and other regulatory issues, including the regulation of national securities exchanges, ECNs and alternative trading systems, and compliance issues, including those relating to fixed-income securities.

Our lawyers regularly appear before the SEC and all major self-regulatory organizations, particularly the NYSE and FINRA, and our litigators are experienced in all types of problems associated with dispute resolution in securities law matters. We represent clients in stockholder and investor suits, securities-related class actions, SEC and self-regulatory organization investigations and enforcement actions, private proceedings, broker-dealer claims, and actions involving allegations of fraud, tender offers and proxy contests. An area of special emphasis is derivatives litigation, where our lawyers were involved in several high-profile cases.

Our Securities Industry Practice also draws on the strength, diversity and sophistication of the firm to assist clients in related areas, such as tax, labor and employment law, employee benefits and ERISA, antitrust, and intellectual property and technology. As one example, our labor and employment lawyers have been at the forefront in successfully defending major securities firms in complex employment litigation, including class action discrimination suits. We also have substantial capabilities to address the legal issues presented by new federal legislation affecting banks, insurance companies and securities firms.