LSW provides focused defense in high stakes matters. Individuals facing regulatory scrutiny confront immediate risks to their careers, reputations, and financial security. We prioritize these concerns. Our team defends executives, employees, and professionals in regulatory enforcement matters, working to resolve issues quickly and discreetly to protect what matters most.

Decades of Experience Across Financial and Regulated Markets

We have represented hundreds of individuals—and companies—in civil, criminal, and regulatory actions involving securities, commodities, banking, and market-conduct rules. With decades of experience in financial-market enforcement, we guide clients through every stage of the process, from informal inquiries and interviews to testimony, litigation, and trial.

Deep Knowledge of Complex Financial Products and Markets

Our lawyers understand sophisticated financial instruments and trading platforms, including domestic and international exchanges and private trading environments. We regularly defend clients accused of improper practices involving municipal securities, auction-rate securities, mortgage-backed securities, derivatives, and other financial products.

Leadership in Cryptocurrency, AI, and Emerging-Technology Regulation

We also represent individuals and entities in fast-changing enforcement areas. This includes cryptocurrency trading, digital-asset regulation, decentralized finance (DeFi), and blockchain-related investigations. Our work extends to AI governance, algorithmic decision-making, automated trading systems, and other emerging technologies under regulatory focus.

Cross-Industry Regulatory Defense

Our practice spans heavily regulated sectors, including pharmaceuticals, consumer products, energy, aviation, construction, insurance, higher education, real estate, technology, and automotive. Chambers USA notes that we “regularly advise on investigations and litigation involving financial markets and related antitrust claims.”

Credibility With Regulators and Government Agencies

Our team includes seven former federal prosecutors with longstanding relationships across federal agencies. Their experience and insight into agency priorities strengthen our ability to negotiate effectively and navigate complex enforcement environments on behalf of our clients.

 

Regulators Before Whom We Appear

• U.S. Department of Justice (DOJ)

• U.S. Securities and Exchange Commission (SEC)

• U.S. Commodity Futures Trading Commission (CFTC)

• New York State Department of Financial Services (DFS)

• State attorneys general

• Financial Industry Regulatory Authority (FINRA)

• Federal Reserve Board (FRB)

• Office of Foreign Assets Control of the U.S. Department of the Treasury (OFAC)

• Office of the Comptroller of the Currency (OCC)

• Consumer Financial Protection Bureau (CFPB)

• Chicago Board Options Exchange (CBOE)