Securities Enforcement & Investigations

Defending Clients in Government, Securities, and Internal Investigations

At Gesmer, our Securities Enforcement & Investigations practice provides strategic, high-stakes counsel to companies, financial institutions, and executives facing scrutiny from government regulators and enforcement agencies. Led by experienced counsel, we represent clients in civil and criminal investigations and enforcement actions brought by the SEC, DOJ, FINRA, and other state and federal agencies.

We understand that regulatory inquiries can carry not just legal implications, but also profound reputational and business risks. Our approach is proactive, discreet, and tailored to the unique pressures each investigation presents.

Government Investigations & White-Collar Litigation

We guide corporations, boards, and senior executives through complex government investigations and prosecutions. From early-stage inquiries to high-profile enforcement actions, we offer seasoned defense against alleged violations of the Foreign Corrupt Practices Act (FCPA), the False Claims Act, securities laws—including insider trading and market manipulation, anti-money laundering (AML) and compliance failures, healthcare and pharmaceutical fraud, and financial reporting and disclosure violations. Our white-collar defense practice extends across a wide range of regulated sectors, offering clients crisis management strategies, compliance counseling, and direct engagement with regulatory bodies.

Securities Enforcement Defense

We bring deep experience representing clients in securities enforcement matters involving the SEC, FINRA, DOJ, and PCAOB. Our work includes defending public companies and their boards, broker-dealers and investment advisers, senior executives and compliance officers, and financial institutions and fintech firms. We also lead internal investigations on behalf of audit and special committees, particularly in cases involving financial misconduct, governance breakdowns, and reporting irregularities. Our ability to resolve matters discreetly and favorably, often before charges are filed, makes us a trusted partner in sensitive situations.

Independent & Internal Investigations

Our team is frequently called upon to conduct thorough, independent internal investigations in response to whistleblower allegations, compliance failures, or board-level concerns. We are trusted by boards of directors, audit committees, and special committees to handle matters involving executive misconduct, financial fraud, FCPA compliance lapses, insider trading, AML/KYC violations, and regulatory reporting failures. Our investigations are designed not only to uncover the truth, but also to help our clients avoid full-scale government action by addressing issues proactively and developing remediation strategies. When investigations lead to regulatory engagement, we serve as both legal counsel and crisis advisors.

Crisis Management

When the stakes are highest—whether facing regulatory raids, media exposure, or internal unrest—we act swiftly to protect our clients’ legal, reputational, and commercial interests. We craft strategic responses that align with business objectives while maintaining compliance and managing public relations risk.

Why Gesmer?

Clients choose us for our agility, discretion, and elite regulatory insight. Whether responding to a subpoena, conducting an internal investigation, or facing a government enforcement action, we deliver responsive, effective solutions grounded in practical experience and regulatory fluency.

If your business is navigating regulatory scrutiny, contact our Securities Enforcement & Investigations group today.