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    Overview

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    The Securities Regulation & Enforcement Practice at Locke Lord brings together professionals with experience at the highest levels of the federal government, offering clients unique insights into the financial regulators and allowing us to address regulatory and enforcement issues efficiently and effectively.

    We regularly represent public companies, broker-dealers, investment advisers, hedge funds, investment companies, boards of directors, and individual officers and directors in matters before the SEC, Department of Justice (DOJ), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), and other regulators. We have deep substantive experience in issues affecting broker-dealers, investment advisers, and other financial professionals. We have guided clients in dealing with complex regulatory issues and in high profile enforcement proceedings. In each of these matters, we are able to offer clients access to decision makers at the highest levels of the regulatory agencies.

    Our team includes two former United States Attorneys, bringing a depth of experience and contacts to draw upon in complex matters and in parallel proceedings with civil and criminal authorities.

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