Securities Enforcement Defense,
Internal Investigations and Securities Litigation

Wick Phillips has a broad range of experience representing clients in securities investigation and enforcement matters. We represent companies, senior executives, employees and others in regulatory investigations and enforcement proceedings conducted by the Securities and Exchange Commission (“SEC”) and other federal and state governmental agencies and self-regulatory organizations. We also have experience conducting internal investigations and FINRA arbitrations involving private and regulatory parties. We have extensive knowledge in a wide range of litigated matters, including allegations of securities fraud, insider trading, broker-dealer fraud, investment advisor violations, and failures to disclose, misappropriation, along with other aspects of white-collar defense, such as money laundering, contempt, obstruction, bank fraud and computer fraud. Our clients include brokerage firms, investment banks, investment advisors, hedge funds, investment companies, officers, directors, shareholders and investors. Our knowledge and experience give clients a distinct advantage in navigating securities regulation and litigation.

Receiverships

Wick Phillips has extensive experience with receiverships, especially in matters filed by the SEC. The firm's lead securities partner has been appointed by courts to serve in this fiduciary capacity, and the firm has been retained to serve as counsel to receivers, investors and others who have a stake in a receivership estate. Receivers, whether in cases filed by the government or private parties, preserve and acquire assets and records of the receivership estate for the benefit of investors and others. The roles of receiver and counsel to receivers require resourcefulness for the efficient and effective administration of the receivership estate, and often litigation in diverse areas of the law with diverse parties.

Securities Industry Transactions and Regulatory Compliance

Our experience in securities industry operations and in regulatory compliance gives clients a distinct advantage in navigating their business strategies and compliance. Our professionals analyze and negotiate complex transactions and contracts for our broker-dealer, investment bank, investment advisor, investment company, hedge fund and financial advisory clients. We also use our experience to advise our securities-industry clients in navigating their regulatory compliance and risk management programs.