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Securities Enforcement
Keep up with the latest legal and industry insights, news, and events from MoFo
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Michael D. Birnbaum
Partner
Haimavathi V. Marlier
Partner
Craig D. Martin
Partner
Michael D. Birnbaum
Partner
Haimavathi V. Marlier
Partner
Craig D. Martin
Partner
View all members of the group
Full Disclosure Resource Center
Related Practices
Broker-Dealer Compliance + Regulation
Capital Markets
False Claims Act
FCPA + Global Anti-Corruption
Lending + Financial Transactions
Health Care Fraud
Investigations + White Collar Defense
IPOs
Securities Litigation
State + Local Government Enforcement
Ranked for Securities Regulation Band 1 for U.S.A., L.A., and D.C.
U.S. News – Best Lawyers 2018, 2019
Recognized as Most Innovative Law Firm: Legal Expertise – Asia Pacific Region
Financial Times 2019
Recognized as Most Innovative International Law Firm — Asia Pacific Region
Financial Times 2019
Insights
Insights
Client Alert
DOJ Criminal Division Initiates Self-Disclosure Pilot Program for Individuals
29 Apr 2024
Client Alert
Top 5 SEC Enforcement Developments for March 2024
23 Apr 2024
Client Alert
SCOTUS Limits Certain 10(b) Claims Based on Violations of Item 303
17 Apr 2024
Client Alert
Top 10 International Anti-Corruption Developments for March 2024
17 Apr 2024
Client Alert
Takeaways for In-House Counsel from the SEC’s “Shadow Insider Trading” Trial
16 Apr 2024
Client Alert
Top 5 SEC Enforcement Developments for February 2024
25 Mar 2024
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News
News
In The News
Carbon Credits Draw Fresh Attention Under SEC’s New Climate Rules
27 Mar 2024
In The News
SEC's 'Shadow Trading' Trial To Test Insider Info Boundaries
22 Mar 2024
In The News
DOJ Official Teases Harsher Penalties for AI-related Crimes
08 Mar 2024
In The News
DOJ’s Healthcare Probes of AI Tools Rooted in Purdue Pharma Case
29 Jan 2024
MoFo News Item
Daily Journal Names Arturo González and William Frentzen as Leading Commercial Litigators
24 Jan 2024
In The News
Ex-prosecutors: Arbitration Corruption Findings Against Worley Will Interest DOJ
12 Jan 2024
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Events
Events
Speaking Engagement
Securities Enforcement Forum West 2024
23 May 2024
Speaking Engagement
Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell to Present “Investigations and Enforcement Update” to Aledade
06 May 2024
Speaking Engagement
Financial Market Association's 2024 Securities Compliance Seminar
17 Apr 2024 - 19 Apr 2024
Event
MoFo Hosts Gurbir Grewal, SEC Director of Enforcement, for Live Podcast and Networking Event
20 Mar 2024 6:30 PM - 8:30 PM EDT
Speaking Engagement
Professional Liability Underwriting Society (PLUS) Annual Conference
04 Dec 2023 - 05 Dec 2023
Speaking Engagement
Securities Enforcement Forum East 2023
25 Oct 2023
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Video + Audio
Video + Audio
Video
Enforcement and Reputational Issues in a Biden Administration
19 Nov 2020
Audio
The NYSE’s Trading Floor is Closed
23 Mar 2020
Podcasts
Podcasts
Podcast
Above Board: Regulatory and Enforcement Trends in the Life Sciences and Healthcare Industries
27 Oct 2023
Podcast
Above Board: DOJ and SEC on Cooperation and Clawbacks – Considerations for Directors
19 Sep 2023
Podcast
Have Short Sellers Been Tanking Bank Stocks? Group Wants SEC to Investigate
05 May 2023
Podcast
Above Board: Ethics and Compliance Programs and the Role of the Board
26 Sep 2022
Podcast
Above Board: Proposed Cybersecurity Disclosure and Reporting Requirements for U.S. Public Companies and Critical Infrastructure Entities
01 Apr 2022
Podcast
MoForecast: Predictions on SEC Regulation
25 Mar 2021
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