Anne DePrez advises on securities and business litigation, representing issuers, directors, underwriters, broker-dealers and other institutional clients in securities fraud class actions, securities enforcement actions and customer disputes. Anne delivers legal counsel, zealous advocacy and an understanding of the daily challenges her clients face when navigating the relentless demands of legal, compliance and commercial objectives.
As co-chair of the firm’s Financial and Regulatory Litigation team, Anne defends the rights of financial institutions against claims alleging violations of federal and state securities laws and common law claims. In her fourth decade of practice, Anne’s deep knowledge of the law and longevity in the financial services industry has allowed her to successfully resolve hundreds of claims, disputes and the like.
Anne has counseled clients on matters that range from complex securities litigation and class action claims to arbitration involving equities, bonds, derivatives, futures, mutual funds and insurance products. She also advises on single- and multi-party customer claims pertaining to sales practices, supervision, registration and fiduciary duties. In addition, Anne represents clients in administrative and disciplinary investigations and actions by self-regulatory organizations and regulators, including the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC).
Anne also represents clients involved in general commercial and corporate governance litigation, including derivative actions, partnership disputes and banking disputes. In addition to representing clients in both federal and state courts, Anne defends financial services companies before alternative forums, having appeared in arbitrations under the auspices of FINRA, the National Futures Association (NFA), the American Arbitration Association (AAA), and the Center for Public Resources. She has also served on arbitration panels for FINRA, AAA and NFA.
Although Anne concentrates her practice in litigation, she works diligently with clients to avoid disputes in the first place. As a result, Anne advises corporations, their boards and special committees on corporate governance and compliance issues in addition to representing them in connection with internal investigations.
More Legal and Business Bylines From Anne N. DePrez
- Ceresney Warning: Expect Continued SEC Enforcement Activity Regarding Municipal Securities - (Posted On Tuesday, October 18, 2016)
- SEC Completes Municipal Underwriter “Enforcement Sweep” - (Posted On Monday, February 08, 2016)
- The MCDC Orders: Everything is Material re: Municipalities Continuing Disclosure Cooperation - (Posted On Friday, June 19, 2015)
- Self-Reporting: A Wise Strategy or Chasing Unicorns? - (Posted On Tuesday, April 28, 2015)
- North American Securities Administrators Association (NASAA): State Securities Regulators’ Views on Top Emerging Enforcement Issues - (Posted On Friday, September 19, 2014)
- Six Things SEC Chair White Wants Directors to Know About How to Avoid Being on the Receiving End of an Enforcement Action - (Posted On Monday, June 30, 2014)
- D.C. District Court Order Provides a Warning About Attorney-Client Privilege Protection for Internal Investigations - (Posted On Thursday, March 20, 2014)
- Supreme Court Opens a Pandora’s Box of Whistleblower Litigation - (Posted On Saturday, March 08, 2014)
- Securities Regulators’ Increasing Use of Real-Time Monitoring Systems – Is Skynet Next? - (Posted On Friday, January 31, 2014)
- Government Regulators Continue to Make Insider Trading a Trial Priority (With Mixed Success) - (Posted On Thursday, January 16, 2014)