Clyde Snow

Securities Enforcement, Regulatory Defense and 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, the U.S. Department of Justice, the Commodity Futures Trading Commission, the Public Company Accounting Oversight Board, and other federal and state securities and commerce agencies. Many of Clyde Snow’s attorneys are former regulators and prosecutors and have a unique perspective as a result of many years of experience in prior government service. Our attorneys use this experience and knowledge to assist companies and individuals stay in compliance and to guide them through regulatory investigations and litigation. Much of our success comes through resolving cases with prosecutors and regulators before they decide to formally pursue enforcement actions against our clients.

Our firm represents public and private companies, broker-dealers, investment advisors, financial institutions, officers, directors, and board members in securities enforcement inquiries and investigations, lawsuits asserting violations of federal and state securities laws, and shareholder actions. We also provide counsel relating to internal investigations and other regulatory enforcement actions brought by the SEC, FINRA, the PCAOB, and the CFTC. We assist 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 also represent plaintiffs who are victims of improper or illegal actions by individuals or firms who have violated state and federal securities laws and other government regulations, including securities class actions. We also work with whistleblowers who report suspected violations to government regulators and industry self-regulatory organizations.

Clyde Snow represents clients in connection with public offerings and private placement financing, compliance with periodic reporting requirements, broker-dealer and investment advisor registration, securities compliance representation in connection with mergers and acquisitions, and all other aspects of compliance with federal and state securities laws and regulations. The firm provides outside general counsel services to companies engaged in underwritten financings. Those outside general counsel services include corporate clean-up, development of due-diligence materials, management of virtual data rooms and interface, and negotiation with investment bankers.

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