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5.0/5.0 Review for Adam Rosenthal by a Attorney on 11/29/18 in Labor and Employment
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5.0/5.0 Review for Adam Rosenthal by a Partner on 03/04/18 in Litigation
Corporate, Healthcare, Arbitration, Government, Litigation View More
Our Securities Enforcement team comprises attorneys who represent investment banks, broker-dealers, investment advisors and funds, and other financial institutions. We also represent individuals who work in the financial services industry, including registered representatives, traders, bankers, supervisors, and compliance professionals. The financial services sector is heavily regulated and we regularly represent clients dealing with the agencies and departments that regulate the industry, including the Department of Justice, the FBI, U.S. Postal Inspection Service, the SEC, CFTC, state Attorney General’s offices, District Attorney’s offices, state securities regulators, and FINRA. We handle matters initiated by regulators, as well as internal investigations, including investigations stemming from whistleblower allegations. We assess and handle issues ranging from regulatory reporting to remediation.
Our matters have involved numerous civil and criminal investigations involving the federal, and in some cases, state securities laws. The subject matter spans allegations involving the Securities Acts of 1933 and 1934, the Investment Advisers Act, the Investment Company Act, the Foreign Corrupt Practices Act, insider trading, and sales practice, trading, and record-keeping issues. We also handle cross-border matters and represent foreign entities subject to U.S. regulation and jurisdiction.
Our securities enforcement attorneys, whom include former state and federal prosecutors and regulators, understand that most clients have ongoing relationships with their regulators. Accordingly, we balance effective advocacy with long-term relationships and credible legal positions. We frequently represent clients in matters involving multiple regulators and strategically manage parallel proceedings and evolving inquiries. Should civil litigation arise, we also have extensive civil securities litigation experience.
5.0/5.0 Review for Adam Rosenthal by a Attorney on 11/29/18 in Labor and Employment
5.0/5.0 Review for Adam Rosenthal by a Partner on 03/04/18 in Litigation
"As Sheppard Mullin continues to grow, it is important that we not lose sight of the need to recruit women, attorneys of color and others of diverse backgrounds."
-Guy Halgren, Chairman of the Executive Committee
At Sheppard Mullin, we make every effort to recruit the finest lawyers and nurture their talents. The firm recognizes the importance of diversity and the need to create a workplace of inclusion. We need ¿ and our clients demand ¿ a team of attorneys that is as diverse as our increasingly global client base. Achieving and maintaining diversity is key to great client service ¿ a core value of our firm. What distinguishes good intentions from results is a commitment by senior management to find the best attorneys possible coupled with the sincere belief that people with diverse backgrounds bring valuable attributes to the firm. At Sheppard Mullin, the Executive Committee, Diversity Committee, and the lawyers in each of our offices work hard to ensure that all attorneys who join our firm fit in seamlessly and are encouraged to succeed.
Members of our Diversity Committee include ethnically diverse attorneys and a representative from the firm's Executive Committee. Diversity Committee members have served on the Boards of the Anti-Defamation League, the Black Women Lawyers Foundation (Los Angeles), and the Charles Houston Bar Association (northern California). Women and minority attorneys participate on key committees of the Firm (Executive Committee; Compensation Committee; Diversity Committee; Recruiting Committee; Professional Personnel Committee; Associate Issues Committee). Four of the Firm's nine Office Administrative Partners are women, one of whom is African-American and another is multi-racial.
"Serving on the firm's Diversity Committee is one of the most important things I do. I firmly believe that we must be vigilant in our efforts to recruit talented women attorneys and attorneys of color. Our success in this area has a positive effect our firm's culture, practice and client relationships."
-Joan Story, Member Executive Committee and Diversity Committee
Below is a description of just some of our outreach efforts.
Much of our pro bono work relates to the diversity of the communities in which we practice; sample clients include:
Awareness of diversity enables us to understand the value of differences. At Sheppard Mullin, we are committed to hiring top tier attorneys, without regard to race, ethnicity, gender or sexual orientation.
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