Bradley's Securities & Commodities Enforcement team combines extensive government experience, financial forensic knowledge, and a national litigation track record to provide clients with sophisticated, fully integrated representation across the most complex securities and commodities enforcement and investigative matters. Led by several Chambers-ranked attorneys with firsthand experience at senior levels of the SEC's Division of Enforcement and the Department of Justice, our attorneys understand how government agencies investigate, prioritize, and resolve matters. That insider perspective, coupled with experience defending scores of clients in matters initiated by the SEC, DOJ, FINRA, CFTC, PCAOB, and various state regulators, allows us to develop tailored, strategic responses at every stage of a matter, from the initial government inquiry through resolution or trial.
Our practice represents a broad range of clients — including Fortune 500 companies, publicly traded issuers, private equity firms, regulated entities, investment advisers, broker-dealers, and senior executives — in the full spectrum of securities and commodities enforcement matters. We regularly defend clients in high-stakes government investigations and enforcement proceedings involving allegations of securities fraud, commodities fraud, insider trading, accounting and disclosure irregularities, market manipulation, and regulatory noncompliance under the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and the Investment Advisers Act of 1940, among other governing statutes and SRO rules.
Additionally, corporate boards, audit and special committees, and senior leadership regularly engage our team to lead sensitive investigations into fraud, embezzlement, accounting concerns, whistleblower and hotline complaints, employee misconduct, and corporate governance failures — from scoping and fact-finding through remediation and compliance counseling. Leveraging decades of experience honed by investigating matters for the government and handling matters for private clients, our team regularly leads targeted, appropriately scoped investigations that provide boards and management with clear-eyed analyses and conclusions needed to make informed decisions in high-stakes matters to protect their institutions.