Securities Enforcement, Regulatory Defense & Litigation

Clyde Snow has the specialized knowledge, experience, and skills necessary to guide our clients successfully through investigations and enforcement actions pursued by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), FINRA, and other U.S. and foreign regulators. Our securities enforcement team represents public and private companies, financial institutions, officers, directors, and board members in securities enforcement inquiries and investigations, lawsuits asserting violations of US federal and state securities laws, and shareholder actions. We also provide counsel relating to internal investigations, SEC, CFTC, FINRA and other regulatory enforcement actions, and claims. Clyde Snow helps companies and individuals understand laws and regulations to successfully conduct business and we defend clients from accusations of misconduct by both state and federal regulators. Our attorneys use their experience as former regulators and prosecutors to help companies and individuals stay in compliance and to guide themselves through regulatory investigations and litigation. Most of the lawyers in this practice group possess a vital perspective as a result of many years of experience in prior government service. Much of our success comes through handling cases with prosecutors/regulators before they decide to pursue charges against our clients. When needed, our lawyers regularly appear before the SEC, the DOJ, the CFTC, FINRA, and state securities regulators and attorneys general.

  • Defense of clients in securities fraud, tax fraud and false statement matters, including market manipulation, accounting and financial fraud and insider trading cases
  • Representation and management of parallel civil and criminal proceedings
  • Successful representation of clients in SEC and PCAOB administrative proceedings
  • Expert witness and consulting services in securities litigation matters

Our Team

Director and Shareholder
801.322.2516
brb@clydesnow.com
Director and Shareholder
801.433.2410
nak@clydesnow.com
Director and Shareholder
801.433.2459
adl@clydesnow.com
Associate
801.322.2516
pbm@clydesnow.com
Director and Shareholder
801.433.2456
war@clydesnow.com
Director and Shareholder
801.322.2516
ars@clydesnow.com
Director and Shareholder
801.322.2516
rgs@clydesnow.com
Director and Shareholder
801.322.2516
mas@clydesnow.com