Securities Enforcement

With their broad experience, Smith, Gambrell & Russell attorneys bring an in-depth understanding of the civil and criminal investigative and prosecutorial decision-making processes of the Department of Justice, SEC Enforcement, New York Stock Exchange Enforcement, NASD Enforcement and other federal and state government agencies to assist our clients in fashioning a representation strategy best-suited to the type and severity of the conduct at issue. Our clients rely on the broad legal talents of our attorneys, carefully-selected experts and relationships cultivated by our lawyers with senior personnel in many investigating agencies to tailor our representation to an individual client’s needs. Our attorneys work to address the client’s problem or situation, but also help position the client to reduce the client’s exposure to repeat or future violations.

Smith, Gambrell & Russell LLP attorneys have handled white collar criminal matters from the grand jury investigation stage through trial and appeal involving stock fraud, Foreign Corrupt Practices Act violations, insider trading, stock manipulation, bribery, federal campaign finance violations, money laundering, antitrust violations, health care fraud, bank fraud and insurance fraud. In the securities enforcement arena, our attorneys have been on both sides, with the government and representing clients, in investigations and proceedings involving insider trading, books and records, audit committee duties, proxy violations, stock manipulation, churning, securities registration and offering violations, transfer-agent recordkeeping, broker-dealer practices and registered person (stock broker, compliance officer and investment advisor) conduct. Our attorneys’ expertise also enables us to assist clients with internal corporate investigations conducted on behalf of public and privately-held companies’ boards of directors, special committee’s of those boards and stockholders, and to design corporate compliance programs tailored to particular industries and regulatory initiatives.

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