Morrison & Foerster advises public companies and their executives, directors and affiliates regarding regulatory matters, corporate governance practices, SEC reporting and disclosure issues, enforcement matters, and securities transactions. We also represent broker-dealers and other regulated financial institutions.


Our lawyers include attorneys who have held senior positions with the SEC’s Divisions of Enforcement and Corporation Finance. During their tenures with the SEC, our attorneys were involved in the rulemaking that occurred in the wake of the Sarbanes-Oxley Act of 2002 and worked on groundbreaking enforcement actions, including market manipulation cases concerning public corporations’ stocks, major financial reporting and disclosure cases, and cases against auditors, broker-dealers, and investment advisers. We have an in-house forensic accounting services group, led by a Certified Public Accountant, Certified Fraud Examiner, and former Big Four audit partner, which assists in identifying, interpreting, and clarifying financial and accounting matters.


Our securities lawyers represent companies seeking to go public and public companies. We serve as securities counsel or primary outside counsel for over 100 public companies. Our clients range from small- and mid-cap companies to Fortune 500 companies.


We also regularly advise broker-dealers, investment advisers, distributors, trading groups, and other financial intermediaries and financial institutions regarding their registration, ongoing compliance, and trading matters.


We advise on a full range of securities regulatory matters, including:

  • Derivatives and commodities advice.
  • Structuring, developing, and seeking regulatory approval for innovative financial products.
  • Liability management transactions, including debt repurchases, exchange offers, and tender offers.
  • Counseling regarding disclosure and other regulatory obligations under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act.
  • Counseling on shareholder proposals, contested elections, and other forms of shareholder activism.
  • Counseling concerning sales of securities by insiders and affiliates, including Section 16 compliance, Rule 10b5-1 programs, Rule 144 compliance, and insider trading guidelines and restrictions.

Chambers USA 2016
National: Securities Litigation
National: FCPA
National: Corporate Crime & Investigations
California: Securities Litigation
California: General Commercial Litigation
New York: General Commercial Litigation
New York: White-Collar Crime & Government Investigations

Legal 500 US 2015
National: Securities: Shareholder Litigation
National: White-Collar Criminal Defense

Legal 500 UK 2015
Fraud: Civil and Regulatory Investigations
Fraud: Corporate Crime
Commercial Litigation

U.S. News Best Lawyers® Best Law Firms 2016
Law Firm of the Year: Litigation - Securities
National: Financial Services Regulation Law (Tier 1)
National: Litigation - Regulatory Enforcement (SEC, Telecom, Energy) (Tier 1)
National: Litigation - Securities (Tier 1)
National: Securities Regulation (Tier 1)
National: Litigation - Mergers & Acquisitions (Tier 3)
Los Angeles: Litigation - Securities (Tier 1)
Los Angeles: Securities Regulation (Tier 1)
New York: Criminal Defense: White-Collar (Tier 1)
New York: Litigation – Regulatory Enforcement (SEC, Telecom, Energy) (Tier 1)
New York: Litigation – Securities (Tier 1)
San Francisco: Corporate Compliance Law (Tier 1)
San Francisco: Criminal Defense: White-Collar (Tier 1)
San Francisco: Litigation – Securities (Tier 1)

BTI Litigation Outlook 2015
Standout: Securities and Finance Litigation

FT's 2014 U.S. Innovative Lawyers Report
Commended for Securities Litigation

2013 White Collar Practice Group of the Year

Here is what they say about us:

Major player in the securities and commercial litigation spheres with the capacity to take on national and international cases. Adept at handling high-profile disputes for clients in a range of industries, including health care, financial services and pharmaceuticals. Retains strength in securities class action work as well as investigations and derivative actions.  – Chambers USA 2015

Offers a broad range of representation in corporate criminal defense and government investigations. Combines notable trial experience with significant regulatory expertise when handling domestic and international proceedings. – Chambers USA 2015

The firm is excellent. They provide the hard advice, but also manage complex global investigations seamlessly. – Chambers USA 2015

2018 Top Ranked Chambers MoFo

“Securities expertise spans class actions and corporate governance cases, among other areas. Considered a go-to resource for mega Silicon Valley players facing challenging litigation, alongside roles acting for major financial institutions, retailers and manufacturers.” (Chambers USA 2018)

2018 Legal 500 Leading 500

“‘Outstanding firm’ Morrison & Foerster LLP provides ‘an extremely high level of service, responsiveness and strategic advice’.” (Legal500 US 2018)

MoFo BD/IA Regulator
Our BD/IA Regulator blog provides timely insights and recommendations on compliance, regulatory and enforcement matters.

SEC Investigations Hndbook
A Primer on SEC Investigations and Enforcement Actions Related to Financial Reporting and Accounting Cases

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