Aplicación de las Leyes de Valores y Litigios
En Arnold & Porter contamos con una de las áreas de ejercicio de litigios y ejecución de la ley de valores más importantes. Nuestro grupo está compuesto por ex miembros del personal de la US Securities and Exchange Commission (SEC), abogados del Departamento de Justicia de Estados Unidos (DOJ), asistentes de la fiscalía y otros abogados que han litigado asuntos de valores que sentaron precedentes. Llevamos adelante una tradición de excelencia en la ejecución de las leyes de valores y en la representación en litigios que se remonta a nuestra fundación por parte de uno de los autores de la Regla 10b-5, regla SEC antifraude fundamental.
Nuestros clientes son empresas públicas y sus filiales, empresas de contabilidad, corredores de bolsa, bancos de inversión, aseguradoras, asesores de inversión, fondos de cobertura, firmas de capital privado, sociedades de capital riesgo, fondos de inversión y bufetes de abogados. También representamos con regularidad a las comisiones especiales y comités de auditoría, directores, funcionarios, socios, directores y empleados de dichas entidades. Nuestra experiencia abarca:
- Las investigaciones de la SEC, Departamento de Justicia y otras agencias federales, el Congreso, las organizaciones de autorregulación (incluyendo la Autoridad Reguladora de la Industria Financiera (FINRA)), y los reguladores del estado;
- Demandas colectivas de tenedores de valores, litigios de accionistas derivados, demandas de responsabilidad profesional, casos que implican fusiones y adquisiciones y otros litigios civiles y penales;
- Arbitrajes que involucran reclamaciones de clientes y disputas con empleados en la industria de los títulos y valores;
- Investigaciones internas; y
- Procedimientos ante las autoridades reguladoras y que emiten licencias profesionales, incluyendo la Compañía de Vigilancia de Contabilidad Pública (PCAOB).
- Informes financieros u otras divulgaciones públicas incorrectos;
- Irregularidades o errores contables;
- Controles internos inadecuados;
- Violaciones a la ley sobre prácticas corruptas en el extranjero (FCPA);
- Uso de información privilegiada;
- Manipulación de participaciones, y/o
- Violaciones de la normativa para los corredores de bolsa, asesores de inversiones y empresas de inversiones.
Algunos de nuestros socios son reconocidos como abogados líder en los campos de la ejecución de las leyes de valores, litigios sobre valores y litigios comerciales complejos.
—Chambers USA, Client
—Chambers USA, Client
Most Feared in Litigation (2024)
Experience Highlights
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Private companies and public issuers in navigating securities-related issues arising from the Trump administration’s Executive Orders.
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National accounting firm in investigations by the SEC and PCAOB involving auditor independence relating to the performance of non-audit services for audit clients and accounting firm entity theories of liability, and voluntary requests for information in SEC sweep of the accounting industry.
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Yelp and three of its senior officers in successful defense of a 10b-5 securities class action in the U.S. District Court for the Northern District of California that involved Yelp's revision of forward-looking guidance and related disclosures.
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Special board committee of a financial services public company both in conducting an internal investigation involving corporate governance, internal control and financial reporting issues, and in handling related SEC, DOJ, and other regulatory investigations and shareholder litigation.
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Independent directors of American Realty Capital-Retail Centers of America in successful defense of a securities class action in the U.S. District Court for the District of Maryland arising out of the merger of two REITs with combined assets of $3.5 billion.
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JPMorgan Chase in successful defense and appeal of Sarbanes-Oxley whistleblower case.
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Dunkin' Brands in investigation, litigation, and favorable settlement of a New York Attorney General’s lawsuit alleging the failure to protect consumer data security and privacy.
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International consulting firm in an SEC investigation in which valuation and disclosure issues of a public issuer client are at issue.
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Technology company related to an SEC investigation into cybersecurity disclosures; successfully obtained a declination.
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Special committee of the board of directors of a multinational publicly traded financial services company in an internal investigation involving whistleblower issues and breaches of duty relating to AML and fraud compliance. The investigation follows a series of settlements between the company and government regulators, including the state Attorney General, DOJ, and FTC.
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Coherus BioSciences in the strategic acquisition of Surface Oncology and in connection with threatened shareholder litigation concerning merger disclosures.
Focus Areas
Key Contacts
Related Services
Recognition
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U.S. News & World Report and Best Lawyers"Best Law Firms" for Securities Litigation – Washington, D.C., National (2024)
"Best Law Firms" for Securities Regulation – Washington, D.C., National (2024)
"Best Law Firms" for Litigation - Regulatory Enforcement (SEC, Telecom, Energy) – Washington, D.C., National (2024)
"Best Law Firms" for Derivatives and Futures Law – Washington, D.C., National (2024)
"Best Law Firms" for Bet-the-Company Litigation – San Francisco (2025) -
BTI Consulting GroupIntimidating Opponent in Litigation (2025)
Most Feared in Litigation (2024) -
Chambers USASecurities: Regulation: Enforcement – Nationwide (2024)
Corporate Crime & Investigations: The Elite – Nationwide (2024)
Financial Services Regulation: Banking (Enforcement & Investigations) – Nationwide (2024) -
Chambers GlobalCorporate Crime & Investigations – Latin America - International Counsel (2025)
Corporate Investigations/Anti-Corruption – Global-wide (Multijurisdictional) (2025)
Investigations & Enforcement (International & Cross-Border) – USA (2025) -
Benchmark LitigationWhite-Collar Crime (2024)
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Chambers Latin AmericaCorporate Crime & Investigations (2025)
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Chambers UKFinancial Crime: Corporates – London (2024)
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The Legal 500 UKCrime, Fraud and Licensing: Fraud: White-Collar Crime (Advice to Individuals) (2024)
Risk Advisory: Regulatory Investigations & Corporate Crime (Advice to Corporates) (2024) -
The Legal 500 USSecurities Litigation: Defense (2024)
Insurance: Advice to insurers (2024) -
The American LawyerLitigation Department of the Year – Honorable Mention
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Law360
