Vedder Price has a distinguished reputation representing companies, boards of directors, board committees, executives and other individuals involved in a broad range of government and regulatory investigations, internal investigations, white collar criminal investigations and litigation matters.
You can expect responsive service coupled with the substantial experience of a team of attorneys that has been on the leading edge of complex and challenging investigations, litigation, and regulatory and compliance issues facing our clients. We can mobilize quickly and efficiently with the resources necessary to understand potential issues and help you develop a well-thought-out defense strategy.
Substantial and highly experienced resources, focused on proactive resolution. We bring a deep team with substantial resources to assist clients facing governmental inquiries and litigation. Our attorneys have served as prosecutors with the U.S. Department of Justice, the Securities and Exchange Commission, and other government agencies and self-regulatory organizations.
One of our greatest strengths is our ability to work closely and credibly with the government to resolve concerns before an enforcement action or prosecution is initiated. When the situation demands, however, we are prepared to vigorously defend enforcement actions, criminal prosecutions and related litigation.
Skilled support for internal investigations, compliance programs and remediation efforts. Boards of directors and board committees frequently retain us to conduct internal investigations into allegations raised by government agencies and whistleblowers. We also provide counsel on establishing and implementing compliance programs, and we promote proactive and early remediation to maximize benefits and the possibility of receiving cooperation credit from regulators and prosecutors.
Learn more about our areas of focus.
We represent companies and their officers and directors in connection with securities enforcement, white collar criminal investigations and internal investigations relating to alleged violations of federal securities laws, corporate misconduct and whistleblower allegations.
Our attorneys have experience in a broad range of matters, including:
- Financial fraud, accounting irregularities and related financial statements
- Corporate disclosures
- Officer and director liability
- Whistleblower allegations and related investigations
- Corporate governance, internal controls and remediation
Learn more about our services for Directors and Officers.
Working in conjunction with Vedder Price’s nationally recognized Investment Services practice, we have extensive experience in defending enforcement proceedings and conducting internal investigations involving investment advisers, commodities trading advisers and investment companies, as well as dealing with issues relating to federal securities laws.
In addition, our attorneys have particular experience in dealing with the evolving laws impacting hedge funds, which is an investigative priority for federal regulators and prosecutors.
Our attorneys have a broad range of experience with regulatory examinations, government investigations, and litigation and administrative proceedings involving investment advisers, investment companies, hedge funds, and fund directors or trustees. Our broad experience includes:
- Fraud arising under the Securities Exchange Act, Investment Advisers Act and Investment Company Act
- Conflicts of interest and disclosure
- Governance/compliance breakdowns and related remediation
- Board governance and oversight
- Matters relating to proper supervision
- Self-reporting to regulators
- Mock audits and internal investigations
Learn more about our Investment services.
We have defended broker-dealers in enforcement inquiries, investigations and proceedings initiated by the Securities and Exchange Commission, the Department of Justice, FINRA and other self-regulatory organizations and state agencies. Our attorneys also provide guidance on regulatory, compliance and operational issues, and they conduct mock audits and internal investigations to help manage governmental scrutiny proactively.
Learn more about our Broker/Dealer services.
We provide sophisticated, practical and cost-effective approaches to the unique and heightened legal, regulatory and compliance issues facing accounting firms. Our attorneys have extensive experience representing accounting firms and professionals in compliance matters, investigations, and disciplinary and enforcement proceedings brought by the Securities and Exchange Commission, PCAOB, state licensing authorities and professional accounting associations.
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We represent banks and savings institutions and other financial services providers in a broad spectrum of matters, including inquiries by the Securities and Exchange Commission, the Federal Deposit Insurance Corporation, the Department of Justice and various other federal and state regulatory authorities. Our team works closely with attorneys in Vedder Price’s top-tier Financial Institutions group, whose members include former senior officials of bank regulatory agencies.
Insider trading regulation continues to be a very high priority for the Securities and Exchange Commission, the Department of Justice and other regulators. Our attorneys handle a broad range of insider trading matters, including cases involving corporate disclosures, mergers and acquisitions, executive compensation and expert networks.
We have substantial experience conducting investigations and representing clients in matters involving the Foreign Corrupt Practices Act (FCPA). We also provide counsel in connection with FCPA compliance programs and due diligence.
Although our primary objective is to convince government authorities not to commence criminal proceedings, in the event of a criminal prosecution, we have former assistant U.S. attorneys and experienced defense attorneys prepared to represent companies and individuals throughout a trial and any necessary appellate proceedings.