Securities
Enforcement andRegulation
Our Securities Enforcement and Regulation practiceadvises leading public companies, financial institutions,regulated entities, boards of directors, auditors andsenior executives, officers and directors in all types ofsecurities law enforcement matters. These
representations often remain non-public due tosuccessful resolution without any action against ourclients. Alternatively, when regulators or law
enforcement are determined to bring an action, we arehighly experienced in negotiating favorable resolutions
or in effectively litigating the case, as circumstances
warrant.
We also routinely conduct internal and independent
investigations on behalf of companies, audit committees
and other board committees. Additionally, we
proactively advise clients on compliance matters. For
public companies this may include disclosure andinternal controls design, whistleblower, clawback,insider trading, and anti-bribery policies and all mannerof corporate governance concerns. For regulated
entities, we often assist with designing and testing
compliance policies and procedures, preparing for andresponding to regulatory examinations and assessing
new or differentiated products with respect to both
regulatory and market risk. We closely monitor
regulatory rule-making and assist our clients withpreparing for and complying with these new rules.
Our team includes numerous experienced practitioners,including former senior officials at the SEC, DOJ, PCAOB
and FINRA. We regularly and successfully appear before
the SEC, DOJ, PCAOB, CFTC and FINRA, as well as state
regulators and foreign authorities. At any given time, we arerepresenting clients in dozens of active investigations before
these agencies involving matters related to public company
accounting and disclosure, securities trading andCapability
Lawyers
Carmen Lawrence
New York

Alec Koch
Washington, D.C.

Dixie L. Johnson
Washington, D.C.

Aaron W. Lipson
Atlanta

William Johnson (Bill)New York

Andrew Michaelson
New York

Recognition
Dixie Johnson, Carmen
Lawrence and Richard
Walker Named Top 40
Securities Enforcement
Defense Lawyers
SECURITIES DOCKET,
2020

Three-time winner of White
Collar Practice Group of theYearinformation barriers, auditor liability, asset management andinvestment advisers, broker-dealers, private funds,
cybersecurity, digital assets, the FCPA, corporate
governance, municipal securities and credit rating agencies.
We have the experience to guide you through theinvestigatory process, the credibility to advocate effectively
for you before the enforcement authorities, the skill tolitigate when necessary and track record of success when
doing so, and the judgment to help you achieve the best
possible outcome in a variety of high-stakes matters.

Cases & Deals
June 20, 2024
King & Spalding Secures Significant Summary Judgment
for Ripple
September 12, 2023
Rio Tinto Secures Victory in the Second Circuit

LAW360Winner of Securities PracticeGroup of the Year
LAW360Recognized for Securities
Regulation Nationwide
U.S. NEWS BEST LAWFIRMS, 2024

Top Firm for Securities:
Regulation: Enforcement
Nationwide
CHAMBERS USA, 2023

VIEW ALLInsights
ARTICLE
October 14, 2024
United States District Court in Florida Holds False Claims
Act Qui Tam Provision Unconstitutional“The firm has outstanding
experience and competencewith SEC investigations.”
CHAMBERS USA, 2023

CLIENT ALERTOctober 10, 2024
FCA Fines Starling Bank Over Financial Sanctions
Screening Failures“King & Spalding is excellent
in evaluating complex issues
that arise in a timelymanner.”

CLIENT ALERTOctober 10, 2024
United States District Court in Florida Holds False Claims
Act Qui Tam Provision Unconstitutional

CHAMBERS USA, 2023

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EventsSPEAKING ENGAGEMENT
September 23, 2024
Peter Isajiw to Speak at SIFMA’s Compliance & Legal
Society Regional Seminar
SPEAKING ENGAGEMENT
May 22, 2024
Aaron Lipson to Speak at Practising Law Institute
SPEAKING ENGAGEMENT
May 3, 2024
Amelia Medina to Speak at the Atlanta Bar Association
White Collar Crime Program
VIEW ALLNewsIN THE NEWSOctober 8, 2024
Bill Johnson and Zach Fardon advise William Morro,founder of business advisory and investment firm
InterAmerican Group, on his request for a probationary
sentence and a minimal fine before a New York federalcourt
IN THE NEWS
October 1, 2024
Zach Fardon interviews Brent Wible, Chief Counselor in
the Office of the Assistant Attorney General at the U.S.
Department of Justice, Criminal Division, at the Securities
Enforcement Forum Central 2024
IN THE NEWS
October 1, 2024
Financial services regulatory and compliance partner
Costa Burkov joins the firm’s Corporate practice group inLondon
VIEW ALL