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Securities Enforcement & Litigation

For more than a decade, stock market bubbles, financial fraud, and the economic turmoil that has resulted from the issuance and trading of complex financial instruments have elevated public and political demand for the regulation of capital markets to a level unprecedented in the last 80 years. The Securities and Exchange Commission (SEC), state securities authorities, self-regulatory organizations, and federal and state prosecutors have been aggressive in bringing civil, administrative, enforcement, and criminal actions with extremely high stakes for both corporations and individuals alike.

The Dodd-Frank, which has expanded the ability of the SEC to bring cases against people not directly or knowingly involved in wrongdoing, is one example of the aggressive enforcement of securities laws not likely to subside anytime soon.

Our lawyers have tried to successful conclusion cases alleging public company financial fraud, insider trading, and stock manipulation. We assist companies and individuals dealing with a broad range of enforcement issues – on both the federal and state level – that are a fact of business life. Our team includes alumni of the SEC and former prosecutors and public defenders. These attorneys are highly experienced and skilled in all phases of the enforcement process, including investigations, negotiation with securities regulators, and trial.

Not all enforcement cases are brought by the government. Private rights of action allow individuals who have experienced financial loss to act as private attorneys general in the enforcement of securities laws. In these instances, we have a proven record of success in defending against class, derivative, and individual actions, whether brought in federal or state court, or in FINRA arbitration.

Related Attorneys

Jonathon D. Bergman

Partner, Commercial Litigation, Securities Enforcement & Litigation, Construction & Real Estate Litigation, Class & Consolidated Actions, Midstream Services, Natural Resources

Daniel A. Richards

Partner, Antitrust, Appellate, Arbitration, Class & Consolidated Actions, Commercial Litigation, Intellectual Property & Technology Transactions, Products Liability, Securities Enforcement & Litigation

Jacqueline V. Roeder

Partner, Commercial Litigation, Securities Enforcement & Litigation, White Collar Defense & Investigations, Toxic Tort Litigation

S. Lee Terry, Jr.

Senior of Counsel, Asset Management, Mergers & Acquisitions, Private Equity, Public Companies & Capital Markets, Securities Enforcement & Litigation, Intellectual Property & Technology Transactions, Technology Company & Technology Transactions, Executive Compensation, Crisis Management

Chad D. Williams

Partner, Commercial Litigation, White Collar Defense & Investigations, Class & Consolidated Actions, Arbitration, Securities Enforcement & Litigation, Crisis Management

Thomas P. Johnson

Senior of Counsel, Class & Consolidated Actions, White Collar Defense & Investigations, Commercial Litigation, Securities Enforcement & Litigation, Toxic Tort Litigation, Intellectual Property & Technology Transactions

Aditi Kulkarni-Knight

Senior Associate, Commercial Litigation, Arbitration, Environmental Law & Litigation, Safety & Health, White Collar Defense & Investigations, Securities Enforcement & Litigation, Public Utilities

News & Events

SEC Update April 2023

SEC/SRO Update: SEC Brings Enforcement Action For Undisclosed CEO Perks; DOJ And SEC Charge Executive With Insider Trading And Misuse...

SEC Update December 2022

SEC/SRO Update: DOJ Obtains First Criminal Sherman Act Monopolization Conviction in Decades; SEC Proposes New Oversight Requirements for Certain Services...

DGS Ranks Among 2022Β Best Law Firms

Davis Graham & Stubbs LLP was named among the 2022 β€œBest Law Firms” by publisher Woodward/White, Inc. in the latest...

SEC Update October 2019

SEC Proposes Amendments to Modernize Business, Legal Proceedings & Risk Factor Disclosures Under Regulation S-K; SEC Clarifies Investment Advisers' Proxy...

Securities Lawsuit Against Anadarko Petroleum Dismissed for Second Time

On March 13, 2019, in Edgar v. Anadarko Petroleum Corp., No. H-17-1372, 2019 WL 1167786 (S.D. Tex. Mar. 13, 2019)...

December 2018 SEC Update

OCIE Releases Examination Initiatives for Registered Investment Companies; OCIE Issues Risk Alert Related to the Cash Solicitation Rule for Investment...

October 2018 SEC Update

SEC Chairman Wants More Individuals to Invest in Private Companies; SEC Awards More Than $54 Million to 2 Whistleblowers; Elad...

Securities Litigation and Enforcement Seminar

Please join us as we discuss significant securities litigation and regulatory updates from the past year and look ahead at...

The Professional: Kenzo Kawanabe Fights to Live in a More Meritocratic Society

"Your Honor, this case begins with the Constitution and ends with our children." With these words on Aug. 1, 2011...