Our location: 81 Main Street, Suite 504, White Plains, NY 10601
914.946.5900

Regulatory Enforcement Lawyers

Well known for helping businesses comply with government regulations

Calhoun & Lawrence, LLP is recognized nationally and beyond as a highly reliable law firm for individuals and companies facing complex and challenging matters involving all levels of government agencies. It handles cases brought by the U.S. Department of Justice and the various U.S. Attorneys’ Offices and State District Attorneys and Attorneys General. The firm also deals with national and international issues involving securities and commodities enforcement and corporate anti-corruption compliance. Your regulatory matter is handled personally by one of the firm’s highly respected partners.

Securities and commodities enforcement

The knowledgeable attorneys at Calhoun & Lawrence know how to protect your securities and commodities business from regulatory investigations. The firm helps you respond to inquiries and conform to the rules dictated by regulatory agencies including:

  • SEC — The U.S. Securities and Exchange Commission oversees regulation and enforcement of all broker-dealer, investment advisor, and other financial services operations in the U.S. securities markets.
  • FCA — The U.K. Financial Conduct Authority oversees the regulation and enforcement of all broker-dealer, investment advisor, and other U.K. financial services operations, including market abuse and other financial conduct.
  • SFO — The U.K. Serious Fraud Office is an independent department under the U.K. Attorney General, which investigates and prosecutes serious and complex fraud, bribery, and corruption.
  • FINRA — The Financial Industry Regulatory Authority is the largest self-regulatory organization (among others) for all securities firms doing business in the United States.
  • CFTC — The U.S. Commodity Futures Trading Commission oversees regulation and enforcement of the various U.S. commodities, futures, and options markets.

The firm provides a sophisticated defense if your business or its executives are accused of securities fraud by a federal law enforcement body or one of these agencies. Calhoun & Lawrence lawyers also are skilled with handling multi-jurisdictional regulation (e.g., by the U.K. Financial Conduct Authority [FCA -- part of the former FSA] and other international regulators and law enforcement authorities) of the various non-U.S. financial markets, with one of the Calhoun & Lawrence partners admitted to the Roll of Solicitors of the Senior Courts of England and Wales. Such extra-territorial skills are critically important, as business has become more frequently trans-national in its reach.

Corporate compliance

The firm works with businesses to manage corporate investigations by governmental and other regulatory agencies. Its attorneys help you respond to allegations that your company has violated national or international corporate law, such as:

  • Sarbanes-Oxley Act
  • Dodd-Frank Act
  • Foreign Corrupt Practices Act (FCPA)
  • U.K. Bribery Act

The firm is often able to prevent litigation through meticulous research and strategic negotiation on your behalf.

Get back to business with help from our regulatory attorneys

Calhoun & Lawrence has a reputation in New York and internationally for stellar representation in regulatory matters. You can depend on the firm to guide your business through any type of securities investigation or other regulatory matter. Contact the firm’s lawyers online or call them at 914-946-5900.