Practice Areas & Industries: Cadwalader, Wickersham & Taft LLP

Practice/Industry Group Overview

"The market is unanimous in agreeing that [Cadwalader] is 'a very, very fine firm' . . . in the enforcement arena"
- Legal 500 US 2007

Cadwalader offers comprehensive security defense and investigative services to a broad range of deposit-taking institutions, public companies and individuals in their interactions with the government regulators and SROs.

We are called upon to conduct internal investigations and compliance reviews for our clients to ensure that their regulatory policies and procedures are sufficient to meet federal standards. The Department also regularly counsels boards of directors and audit committees on complex accounting matters and corporate governance issues, including the application of the Sarbanes-Oxley Act.

The group has had historical success in representing a variety of clients in the most prominent securities enforcement issues, including: broker-dealer sales practice and supervision; revenue sharing and confirmation disclosures; market-timing and late trading; conflicts of interest in municipal security offering; and the marketing of and accounting for structured financial products.