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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Public company in the electronics manufacturing industry in an SEC investigation, internal investigation, NYSE proceeding, and securities class action involving a significant restatement and related financial reporting, accounting, disclosure, internal control, and insider trading issues.
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Registered investment adviser with billions of dollars of assets under management in an SEC examination, civil lawsuits in state and federal court, and investor demands involving compliance matters, including custody relationships, trading positions and disclosures.
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Global investment bank in multiple SEC investigations involving the valuation of positions in financial instruments related to marketplace lending platforms and disclosures to investors in asset-backed securities deals.
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National accounting firm in investigations by the SEC and PCAOB involving auditor independence, including with respect to the performance of non-audit services for audit clients, and accounting firm entity theories of liability.
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Special board committee of an automotive public company in conducting an internal investigation involving whistleblower allegations and issues relating to securities, criminal and other laws and regulations, as well as handling a related SEC investigation.
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Audit committee of a publicly held shipping company in conducting an internal investigation involving assets recorded on the company's books, data privacy issues under the GDPR and other issues, as well as handling related SEC and DOJ investigations.
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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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Yelp and three of its senior officers in a 10b-5 securities class action in the U.S. District Court for the Northern District of California that involves Yelp's revision of forward-looking guidance and related disclosures.
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Chief financial officer of the Hospitality Investors Trust REIT in shareholder derivative litigation in the U.S. District Court for the Southern District of New York and a related special litigation committee investigation involving alleged breaches of fiduciary duties.
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Independent directors of American Realty Capital-Retail Centers of America in 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.
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 Criminal Defense: White Collar – Washington, D.C., National, New Jersey, New York (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 – Chicago, Colorado, San Francisco (2024)
"Best Law Firms" for Securities Regulation – Washington, D.C., National (2023) -
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 Investigations (International Counsel) – Latin America (2024)
Corporate Investigations/Anti-Corruption–Global – Multi-Jurisdictional (2024)
Investigations & Enforcement (International & Cross-Border) – USA (2024) -
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)
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The American LawyerLitigation Department of the Year – Honorable Mention
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Law360
