Davis Polk’s securities enforcement practice is a leader in the field, representing the world’s foremost financial institutions, accounting firms and corporations in their most significant investigations and enforcement actions.

We offer integrated teams of leading lawyers across multiple disciplines to advise clients on the full range of government enforcement, investigations and advisory matters, including those associated with anti-corruption laws, economic sanctions, anti-money laundering and anti-terrorist financing laws, insider-trading and accounting irregularities matters related to financial fraud.

We provide a world-class combination of financial regulatory and transactional advice to our clients and are highly respected throughout the securities industry and by securities regulators, both in the United States and internationally.

We routinely advise broker-dealers and other financial institutions in connection with SEC, CFTC and FINRA inquiries.

We also provide a full range of services in connection with insider trading, from real-time advice to active traders, including hedge funds, to the design of compliance programs and representation of those involved in internal investigations.

Many of our current and former lawyers have held prominent positions with the relevant law enforcement agencies and financial regulators, including the Securities Exchange Commission (SEC), Department of Justice (DOJ), U.S. Treasury, Federal Deposit Insurance Corporation (FDIC), U.S. Office of Foreign Assets Control (OFAC) and U.S. Commodity Futures Trading Commission (CFTC).

• Davis Polk’s securities enforcement and financial institutions practices were recipients of the “2012 Chambers USA Award for Excellence” in Securities Regulation (including Advisory & Enforcement), and shortlisted in 2013.
  
  
  
• “‘Strong from top to bottom’ [Davis Polk] is widely respected for its handling of government investigations and enforcement proceedings.” – Legal 500 U.S. 2012
  
  
  
• Ranked nationally among U.S. law firms for Securities Regulation – Chambers USA: “Davis Polk has really come to the forefront in financial services regulation since the economic downturn.”
  
  
  
• “The lawyers have tremendous expertise and excellent advocacy skills.” – Chambers USA 2011

• We represent each of MF Global’s independent directors in connection with investigations surrounding MF Global’s well-publicized failure and bankruptcy that are underway by the SEC, CFTC, and DOJ.
  
  
  
• We represent the Board of Directors of Direct Edge in connection with an SEC multidisciplinary inquiry relating to potential violations concerning technology, information security, securities compliance, and governance.
  
  
  
• We achieved a landmark result for Morgan Stanley in connection with an investigation by the SEC and DOJ into FCPA violations relating to Morgan Stanley’s real estate investing operations in mainland China. The matter resulted in charges against an individual employee, and the first-ever public decision not to charge a company based on the quality of its anticorruption program.
  
  
  
• We represent a former colleague of Raj Rajaratnam, who was a senior trader from Galleon Group (once one of the largest hedge fund management firms in the world). Although numerous indictments have been handed down in the investigation relating to Galleon, Davis Polk’s client has not been charged.

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