Schulte Roth & Zabel

Lawyers & Professionals

Browse by format

Browse by topic

Firm Overview

Instead of trying to be everything to everybody, we’ve made a name for ourselves by delivering what our clients need most: in-depth, hands-on legal counsel throughout the financial services sector — and beyond.

Get to know us

Firm News

There’s a lot going on at Schulte — we’re wrapping up high-profile matters, welcoming talented new lawyers, speaking on issues that affect our clients, and more.

Read all about it

Pro Bono

Throughout our history, Schulte has provided comprehensive pro bono services to local and national nonprofit organizations. Today, we serve more than 50 nonprofits and work to advance a variety of social justice causes.

Learn more

Diversity, Equity and Inclusion

Inside the firm, we work hard to attract diverse, talented lawyers and encourage their career growth and advancement. And outside the office, we’re active in volunteer drives and local initiatives that support underrepresented groups.

See what we’re up to

Alumni

If you’re a current or former Schulte lawyer, join our Alumni Network on LinkedIn to stay connected with old friends, make new contacts, and share your successes, ideas and insights.

Stay in touch

Social Responsibility

We take doing “good work” seriously — whether we’re talking about our high ethical standards or the way in which we foster a positive and inclusive culture for our personnel and support local communities.

See how we work

Offices

  • New York

    • 919 Third Avenue
    • New York, NY 10022
    • United States of America
      • +1 212.756.2000 Phone
      • +1 212.593.5955 Fax
    View Details

  • Washington, DC

    • 555 13th Street, NW, Suite 6W
    • Washington, DC 20004
    • United States of America
      • +1 202.729.7470 Phone
      • +1 202.730.4520 Fax
    View Details

  • London

    • One Eagle Place
    • London SW1Y 6AF
    • United Kingdom
      • +44 (0) 20 7081 8000 Phone
      • +44 (0) 20 7081 8010 Fax
    View Details

Search SRZ.com

We’ve rebranded!
Visit our homepage to see the new brand in action.

Litigation

Securities Enforcement

The evolution of the securities enforcement environment presents the financial services industry with complex challenges that Schulte has built an outstanding reputation handling. Our Securities Enforcement Group represents public and private companies, financial institutions, broker-dealers, private funds and their senior executives in securities-related enforcement proceedings and government investigations involving the full range of federal and state law enforcement and regulatory authorities. With numerous former federal prosecutors from U.S. Attorneys’ offices, including chiefs of the Appeals and Major Crimes Units, and former U.S. Securities and Exchange Commission officials, our deep bench of lawyers offers guidance on matters ranging from informal inquiries and formal or grand jury investigations to administrative proceedings and cases brought in federal and state courts.

Our securities enforcement practice and lawyers have been recognized by industry and ranking publications including Chambers USA, Benchmark Litigation, U.S. News – Best Lawyers in its “Best Law Firms” listings for securities litigation, and Washingtonian magazine’s “Top Lawyers” list in securities and criminal defense/white collar law. Our litigators are also co-authors of Practising Law Institute’s Insider Trading Law and Compliance Answer Book 2019, a comprehensive treatise and important reference guide for the industry.

Services

  • Represent clients before the SEC, DOJ, FINRA, CFPB, CFTC, regional exchanges, and state attorneys general and securities regulators
  • Assist clients in dispute resolution and other self-regulatory organization arbitration, investigation and disciplinary proceedings
  • Represent clients including hedge funds, funds of funds, private equity funds, investment advisers, investment banking firms and Nasdaq market-makers, institutional and retail brokerage firms and their registered representatives, trade execution and clearing firms, prime brokerage firms and national accounting firms
  • Handle investigations and proceedings involving accounting and disclosure fraud, insider trading, foreign corruption, offering fraud, market manipulation, breach of fiduciary duty, conflicts of interest, antitrust violations, money laundering and executive compensation

Successes

SEC Investigations

  • Large health care provider involving possible accounting and disclosure fraud
  • Activist hedge fund with regard to possible securities law violations related to an activist campaign
  • Large financial services firm in connection with an SEC and DOJ investigation into the collapse of a hedge fund that lost nearly $60 million in three weeks of trading
  • Former quantitative analyst of a high frequency trading firm relating to trading involving the firm’s broker-dealer
  • Broker-dealer in connection with an investigation charging that the company was one of 30 defendants accused of insider trading based on information gathered by hackers of multiple business wire services

 FINRA Disputes

  • Leading global investment banking firm in an arbitration brought by a hedge fund 

Shareholder Disputes

  • Asset management firm in shareholder dispute in the Cayman Islands
  • Large public company, its chief executive officer and its chief financial officer as defendants in a putative securities fraud class action

Federal Securities Litigation

  • Bank in connection with disputes for indemnification and contributions against third parties rising out of post liability arising from the sale of RMBS

Resources

Publications

White Collar Enforcement During the Coronavirus Crisis

Alerts

Supreme Court Limits Disgorgement in SEC Enforcement Actions

Publications

Political Insider Trading — Mitigating a Risk

View by date range:

Alerts

SEC Enforcement Director Highlights Focus on Private Funds

May 25, 2023

In a series of recent industry events, U.S. Securities and Exchange Commission (“SEC”) Enforcement Director Gurbir Grewal continued to emphasize that the private funds industry is “a substantive priority area” for the...

Publications

Securities Enforcement Quarterly
February 2023

February 2023

In the final quarter of 2022, the U.S. Securities and Exchange Commission (“SEC”) continued to bring enforcement actions that reinforce the SEC’s stated commitment to scrutinizing compliance and digital assets. Specifically, the SEC...

Publications

Securities Enforcement Quarterly
November 2022

November 2022

The third quarter marked the end of the SEC's fiscal year; a year defined by novel enforcement actions and steady pronouncements foreshadowing more boundary-pushing investigations and enforcement cases. In this edition of Schulte Roth &...

Publications

Securities Enforcement Quarterly
August 2022

August 2022

After issuing a flurry of rule-making proposals in the first quarter of 2022, SEC Chair Gensler appeared before Congress to advocate for additional personnel he believes necessary to keep pace with the SEC’s sweeping regulatory and enforcement...

Publications

Securities Enforcement Quarterly
May 2022

May 2022

In 2021, the SEC set forth an ambitious agenda for enforcement and regulation and, as discussed in this edition of Schulte Roth & Zabel’s Securities Enforcement Quarterly, during the first quarter of 2022, the SEC set forth sweeping rule...

Lawyers

Related

  • Business & Finance

    Broker-Dealer Regulatory & Enforcement

    Few firms can offer a practice with the size and depth of experience as our Broker-Dealer Regulatory & Enforcement Group. Our team of lawyers is dedicated entirely to this area, providing regulatory and compliance advice to broker-dealers and other...

  • Business & Finance

    Investment Management

    That counsel is bolstered with knowledge from every practice area of our firm — from tax and M&A to intellectual property, employment law and litigation — so your fund is covered from every angle. With proven business acumen and financial expertise,...

  • Litigation

    Litigation

    Our unparalleled team features both leading lawyers focused on general litigation and others in highly specialized areas, including antitrust; private securities litigation, including class actions and derivative suits; shareholder activism, proxy...

  • Business & Finance

    Regulatory & Compliance

    Our regulatory & compliance practice consists of more than 50 lawyers, including over 30 partners, all with extensive regulatory and compliance experience and many of whom have prior experience working at the U.S. Securities and Exchange Commission (...

  • Litigation

    Securities Litigation

    We have a strong record of success at every stage of a case, having secured dismissal of securities claims at the pleading stage and on summary judgment, defeated class certification motions, and successfully tried a Section 10(b) case to verdict....

  • Litigation

    White Collar Defense & Government Investigations

    Our deep bench of lawyers includes experienced trial lawyers who are former federal prosecutors, including chiefs of the Appeals and Major Crimes units in the Southern District of New York, and Assistant United States Attorneys in the Southern...

We use cookies to make your experience of our website better. To comply with the e-Privacy Directive, we need to ask for your consent to set these cookies. Please note that if you keep browsing this website without electing an option, your consent is deemed to be given.

By clicking "I agree" or continuing to browse this website without electing an option, you are also accepting our Privacy Policy.

I agree No thanks