SEC Enforcement and White Collar Defense
Schulte’s SEC Enforcement and White Collar Defense Group includes former members of the SEC’s Enforcement Division and former federal prosecutors. We represent a wide range of financial institutions, including private funds, broker-dealers, public corporations and their principals, boards and executives in investigations and prosecutions by the Securities and Exchange Commission, the Department of Justice and other regulatory and law enforcement agencies.
Schulte’s work with clients across the private capital industry — from fund formation and regulatory compliance to investment management M&A and restructuring — gives our enforcement practice deep insight into real-world industry practices and trends, which enables us to act as highly effective advocates in avoiding allegations, negotiating resolutions and securing favorable outcomes for our clients.
We have significant experience with matters involving valuation, conflicts of interest, insider trading, fiduciary duty, fee arrangements and other hot-button issues. We work closely with our partners to identify risk areas before they arise, particularly regarding newly promulgated rules and emerging regulatory issues, such as pertaining to digital assets, off-channel communications, SPACs and the new private funds rules.
When necessary, our team of former prosecutors and highly experienced trial lawyers defends clients in cases alleging securities fraud, insider trading, market manipulation, and breach of duty, as well as violations of international sanctions and anti-money laundering rules (AML), False Claims Act and Foreign Corrupt Practices Act (FCPA). We are vigorous advocates throughout the process, with a track record of success in avoiding prosecution at the investigations stage and – if necessary – at the trial and appellate levels.