financial litigation and regulation
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Financial Regulation Enforcement Actions

CRA’s experts bring extensive experience to investigations and litigation coming out of financial regulators’ actions. Our experts are experienced working both for and against the financial regulators in enforcement proceedings including allegations of insider trading, market manipulation and misrepresentation cases. CRA has also worked to support counsel for a vast array of private clients, including public companies and their officers and directors, large investment banks, market makers and accounting firms.

On the regulatory side, in addition to working for and against the SEC, we routinely work for and against the Department of Justice, the Commodity Futures Trading Commission, and Financial Industry Regulatory Authority (FINRA).

Our Focus Areas

Engagements

  • 01
    Financial reporting and oversight support
    CRA was retained by counsel for the SEC to provide a background on the financial statements that companies prepare and the accounting rules that guide the...
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  • 02
    Look back review for credit card company
    Pursuant to a Consent Order, led Look Back Review team for a major credit card company (regulated by the FDIC), covering over 1 billion transactions and 28...
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  • 03
    Whistleblower investigation
    On behalf of a major investment management firm, we conducted a privileged independent investigation into whistleblower allegations of investor harm due to...
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