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Securities Litigation and Enforcement

Covington regularly represents clients in high-stakes securities and derivatives enforcement and litigation matters. Our litigators have extensive experience handling cases in courtrooms across the country, before arbitration panels, and in bankruptcy court.

Covington represents companies and individuals in every major area, including complex securities and other instruments, shareholder class actions and derivative litigation, and transactional disputes.

Covington’s securities and commodities enforcement attorneys regularly represent clients before the SEC, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), regional exchanges, and state securities regulators.

When regulatory investigations are accompanied by parallel criminal investigations, we are exceptionally well-equipped to handle those as well. Our committed group of senior litigators includes a former assistant director of the SEC Enforcement Division, a nine-year veteran of the CFTC who leads our commodity regulatory and enforcement practice, a former head of the SEC San Francisco District Office, and former federal prosecutors in California, New York, and Washington who prosecuted criminal securities fraud cases.

We also conduct internal investigations, design corporate compliance programs, and conduct compliance training at many of the world's largest corporations.

Covington's Securities/Derivatives Litigation and Enforcement group is not only widely recognized for litigating and winning high-profile securities cases, but also for devising creative legal strategies to resolve matters long before they draw public scrutiny.

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Key Contacts

Meet the Team
Bruce A. Baird

Senior Counsel

Mark P. Gimbel

Partner

Gerald Hodgkins

Partner

C. William Phillips

Partner

Representative Matters

Related News & Insights

Events

Accolades

    • Chambers USA, Securities (2019)
      • Enforcement: Bruce Baird         
    • Chambers USA: Litigation/White Collar Crime & Government Investigations (2019)
      • Stephen Anthony, Lanny Breuer, Steve Fagell, Carolyn Kubota, Nancy Kestenbaum, Daniel Shallman, Douglas Sprague, and Alan Vinegrad
    • Securities Docket recognized Bruce Baird and David Bayless on its inaugural "Enforcement 40" list (2013)
    • Am Law Litigation Daily recognized Jean Veta as "Litigator of the Week" (12/20/2012       
    • Legal 500 US , Securities Litigation (2017)    
      • Bruce Baird, Mark Gimbel, Nancy Kestenbaum, William Phillips, and Robert Wick          
    • Legal 500 US, White Collar Criminal Defense (2017)    
      • Lanny Breuer, Eric Holder, Nancy Kestenbaum, and Ethan Posner                
    • Best Lawyers in America (2019)    
      • Corporate Compliance: Bruce Baird, David Bayless, Len Chazen, Thomas DeFilipps, Philip Howard, and David Martin        
      • Criminal Defense - White Collar: Stephen Anthony, Bruce Baird, Lanny Breuer, Steven Fagell, Nancy Kestenbaum, Carolyn Kubota, Aaron Lewis, Mark Lynch, John Nields, Ethan Posner, Michael Scheininger, Dan Shallman, Douglas Sprague, and Alan Vinegrad
    • Best Lawyers in America “Lawyer of the Year” (2012)    
      • David Bayless, Corporate Compliance Law, San Francisco        
    • Who’s Who Legal, Business Crime Defense (2012)    
      • John Nields, Ethan Posner, Jason Raofield, and Alan Vinegrad        
    • Northern California Super Lawyers (2018)    
      • Securities Litigation: David Bayless        
    • Washington DC Super Lawyers (2019)    
      • Criminal Defense - White Collar: Stephen Anthony, Bruce Baird, Chris Denig, John Hall, Geoffrey Hobart, Mitch Kamin, Ethan Posner, Michael Scheininger, Dan Shallman, and Alan Vinegrad