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Securities Investigations: Internal, Civil and Criminal (Second Edition)

Author(s): Steven Wolowitz, Richard M Rosenfeld, Lee H. Rubin, Mayer Brown LLP
Practice Area: Corporate & Securities, Litigation
Published: Aug 2010
Supplement Date: Sep 2019
ISBN: 9781402410642
PLI Item #: 29910

Securities Investigations provides the legal knowledge and practical strategies necessary to deal effectively with government investigations and internal investigations. The treatise guides attorneys in: conducting internal investigations; cooperating with the SEC and DOJ during investigations in ways that protect clients’ interests; implementing effective compliance measures; designing compliance programs that avoid common compliance deficiencies and help stave off lengthy SEC examinations; supporting clients during their investigation testimony; and handling a grand jury investigation.

Securities Investigations provides actionable coverage, beginning with an overview of enforcement efforts and response strategies, followed by discussions of:

  • Relevant substantive legal provisions, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002;
  • An examination of internal investigations, including SEC, DOJ, and FINRA Guidance, and issues under the attorney-client privilege and the work-product doctrine;
  • A detailed review of the types of securities investigations, including SEC and FINRA investigations, and issues under cross-border regulation and the Foreign Corrupt Practices Act; and
An in-depth examination of the various issues applicable to all types of securities investigations, including whistleblower protection under the Dodd-Frank Act and privacy considerations.
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Steven Wolowitz is a partner at Mayer Brown LLP. An accomplished litigator whose practice focuses on financial services litigation, antitrust matters and complex commercial cases, Steve represents investment banks, broker-dealers, and issuers in securities litigations, including class actions and FINRA arbitrations. In derivatives and futures litigation, he represents FCMs, broker-dealers, banks, and institutional users of the markets in complex cases involving derivatives, futures, foreign exchange, securitizations, hedge funds, insurance, mutual funds, asset management, and fixed income instruments.

U.S. and foreign banks rely on Steve in connection with disputes involving lender liability, equitable subordination, letters of credit, operational matters such as wire transfers, and securitization transactions of various kinds. In the area of enforcement and compliance, Steve represents bank, securities and issuer clients in SEC, DOJ, FINRA, and state securities bureau investigations and proceedings. He also conducts internal investigations and reports to Boards of Directors and Audit Committees for public companies in the financial, healthcare and retail sectors.

Lee H. Rubin is a litigation partner in the Palo Alto, California, office of Mayer Brown LLP. He has represented companies and board committees in conducting internal investigations of alleged improper accounting and financial reporting practices. Lee has represented a number of clients in securities-related litigation and an array of federal criminal investigations and prosecutions. Before joining Mayer Brown, he was a Department of Justice prosecutor and an Assistant U.S. Attorney for the District of Columbia.