WilmerHale has defended clients in hundreds of class, derivative, shareholder and individual actions alleging securities fraud, breach of fiduciary duty and other corporate misconduct. An SEC spokesperson referred Quartz to the operational plan posted on the SEC website It says staff is available to respond to emergency situations involving market SEC Enforcement DC integrity and investor protection, including law enforcement.” Private entities such as the New York Stock Exchange, NASDAQ, and others will also be looking for suspicious activity during this period because they monitor trading and are unaffected by the shutdown,” according to a government official with close knowledge of SEC operations.
Our lawyers regularly counsel companies in dealing with inquiries from the DOJ, the SEC, state attorneys general and district attorneys, multilateral development banks such as the World Bank, and self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA).



With our deep knowledge of the securities laws and the issues affecting the industry, we are able to guide hedge funds, private equity funds and asset managers in complying with regulatory requirements and protecting against regulatory investigations.
Mauro M. Wolfe practices in the area of litigation , with a focus on domestic and international white-collar matters before the U.S. DOJ, the U.S. SEC, the N.Y. Department of Financial Services, FINRA, various federal agencies and regulators, state Attorneys General and local prosecutors, with an emphasis on the finance industry; FCPA and OFAC compliance and investigations; internal corporate investigations, and complex litigation.

A depleted US Securities and Exchange Commission (SEC) will struggle to keep a lid on insider trading and other types of fraud during the continuing government shutdown, experts tell Quartz, creating prime opportunities that wouldn't exist otherwise.
The White House has formally nominated Allison H. Lee, who spent years working at the Securities and Exchange Commission as an enforcement attorney, to fill the agency's remaining leadership slot, which had been reserved for a Democrat, according to the Wall Street Journal Lee had previously worked for former commissioner Kara Stein, whose term recently ended, before leaving her staff role last January.
His practice includes representation of financial institutions, stock transfer agents, real estate developers, accounting firms, health care facilities, and a range of employers in complex disputes, investigations, litigations, examinations, and administrative and enforcement proceedings.

He also gained extensive experience working with international enforcement officials as well as the Commodity Futures Trading Commission (CFTC), the New York State Attorney General's Office, FINRA (Financial Industry Regulatory Authority), the New York Stock Exchange and other domestic agencies.
His clients include public and private companies, attorneys, officers and directors, board committees, broker-dealers, investment advisors, hedge funds, accountants, individual, law firms, SEC court appointed receivers, and the County of Los Angeles.
Philip Khinda is one of the nation's leading securities lawyers, litigators, and advisers to public companies, corporate boards, special committees, and financial institutions dealing with corporate crises, shareholder and derivative litigation, and government and internal investigations.

We serve clients nationwide including, but not limited to, those in the following localities: Atlanta, Baltimore, Boston, Chicago, Dallas-Fort Worth, Denver, Detroit, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa-St.
During Mr. Peikin's tenure at Sullivan & Cromwell, he played active roles in representing Goldman Sachs in enforcement matters, including the bank's settlement with New York State's financial regulator over a leak of confidential information from the Federal Reserve Bank of New York to Goldman.