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Securities Industry

Our clients do business against a backdrop of plummeting stock prices and high-profile bankruptcies that have left corporate America open to a wave of lawsuits, investigations, and civil and criminal enforcement proceedings. Claims of mismanagement, misconduct, funds diversion, money laundering, fraud, self-dealing, breach of fiduciary duties, and conflicts of interest regularly make headlines. Meanwhile, Congress and state legislatures are passing tough new laws governing corporate conduct—joined by stiff penalties for non-compliance.