SEC and FINRA Investigations and Enforcement

The Securities & Exchange Commission (the “SEC”) is the primary regulator of the U.S. Securities markets. FINRA is a non-governmental organization that regulates member brokerage firms and exchange markets. Each year, securities regulators brings hundreds of civil enforcement actions against individuals and companies for violation of securities laws. Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them.

Our team of attorneys and former federal prosecutors have decades of experience representing companies, officers, directors, and employees in matters being investigated by the SEC, FINRA, and state securities regulators. The Firm’s former federal prosecutors are uniquely experienced because, while in government services, they investigated and charged public companies, officers, directors, brokers, and individuals, and worked on numerous parallel investigations with the SEC. Now, as defense counsel, the Firm’s attorneys have vast experience responding to SEC voluntary requests and subpoenas, representing individuals at proffers, OTRs, or depositions, and assisting clients through all stages of an SEC investigation to trial. We have the necessary experience to obtain the best results for our clients.

Our Experience

Defended international public company in years long SEC investigation involving allegations of violations of the FCPA and other securities laws

Defended broker-dealer and investment advisor in multiple investigations being conducted by the SEC, FINRA, and multiple state attorneys general

Defended multi-billion dollar companies in SEC inquiries and related internal investigations concerning loan loss reserves, fair value accounting and valuation, and risk disclosures regarding mortgage-backed securities and debt obligations

Defended multi-billion dollar companies in DOJ and SEC inquiries and internal investigations relating to accrual and loss contingency accounting, revenue recognition, bill and hold compliance, capitalization, and amortization-related accounting issues

Conducted internal investigation and defended Fortune 500 company and its officers and directors in response to SEC inquiry regarding possible insider trading

Secured an SEC nonenforcement action against the Firm’s client, the former President and CEO of a major public company, after a multi-years long investigation

Our Practice Areas

Military Justice Representation and Defense

Military law is a complex and daunting realm and navigating that system without the assistance of a trained military attorney can have devastating results. If you are a member of the United States Military and have been suspected of a crime or are subject to an...

Corporate Security and Organizational Protective Orders

The security risks for corporations have evolved over time and have become increasingly complex. Globalization has changed the structure and pace of corporate life in many ways, including the need to manage at a distance. Corporate accountability, and scrutiny, have...

Anti-Money Laundering And Financial Regulatory Compliance

Flannery | Georgalis, LLC has substantial experience addressing complex regulatory, enforcement, and internal investigative issues affecting financial institutions. Our team is special because it comprises a cross-disciplinary group of former federal prosecutors,...

International Litigation and Dispute Resolution

When parties conduct business in a global market, international commercial disputes often arise. In U.S.-based international litigation, these cases raise complex issues involving service of process under the Hague Convention on the Service Abroad of Judicial and...

General Criminal Defense

General Criminal Defense Flannery | Georgalis has significant experience defending individuals charged with a variety of serious criminal offenses. As former prosecutors and defense attorneys, we have the unique experience of having been on both sides of a wide array...

Critical Motions and Appeals

In every complex litigation—whether criminal or civil—there are make or break moments involving the written word: the must-win suppression motion, the motion to exclude a devastating expert witness, the motion to dismiss based on a novel legal theory, the motion for...

Business Litigation

Flannery | Georgalis represent clients in a wide of array of complex commercial litigation matters, especially including those involving allegations of serious or intentional misconduct, business fraud, professional liability, and significant employment disputes and...

Professional Licensure Defense

We understand the suspension or revocation of a professional license jeopardizes an individual and their family’s well-being. A suspension is disruptive and could irrevocably damage your practice. A revocation can be catastrophic to your livelihood. We have...

Healthcare Regulatory and Enforcement

With federal agency administrative rules, court decisions, and executive orders continuing to drive regulatory changes and enforcement trends, providers and participants in the healthcare industry need trusted counsel. Drawing upon years of government experience,...

False Claims Act and Qui Tam Actions

The False Claims Act (“FCA”), 31 U.S.C. §3729 et seq., imposes liability on individuals and entities who defraud governmental programs. The FCA, along with analogous state statutes, is generally viewed as the government’s most powerful anti-fraud tool, because it...

Dentist, Dental Practice, and DSO Representation

Flannery | Georgalis has significant experience representing dentists, dental practice groups, and dental service organizations (DSOs) in a variety of sensitive matters. The team of attorneys at Flannery | Georgalis is comprised of former federal and state...

White Collar Criminal Defense

Flannery | Georgalis has substantial experience defending companies and individuals in nearly every kind of white collar criminal or civil enforcement matter, including fraud, securities violations, SEC and FINRA enforcement proceedings, public corruption, and health...

National Security and Cyber Crimes

Matters involving national security are the U.S. Department of Justice’s highest profile and highest priority cases. Several of our former federal prosecutors and special agents were assigned to national security and cybercriminal units while in government service. We...

Economic Sanctions and Export Control

Customs and international trade law is a complex field of statutes and regulations that is frequently changing and violations can lead to detained, excluded, and seized shipments as well as severe civil and criminal penalties. The Trade Facilitation and Trade...

Foreign Corrupt Practices Act

The Foreign Corrupt Practices Act (the “FCPA”), was enacted for the purpose of making it unlawful for certain persons and entities to make payments to foreign government officials to assist in obtaining or retaining business. Since 1977, the anti-bribery provisions of...

Criminal and Civil Fraud Tax Controversy

At Flannery | Georgalis, our team of former federal prosecutors and former special agents are uniquely experienced to represent clients in a wide variety of criminal and civil tax controversies. Unlike any other firm, our tax controversy team consists of multiple...

Corporate Internal Investigations

Flannery | Georgalis has significant experience conducting internal investigations on behalf of public and private companies of all sizes. We understand that in corporate criminal and parallel civil matters, conducting a comprehensive internal investigation is...

Antitrust and Competition Law

Around the world, recent events have sparked renewed interest in antitrust and competition law and its role in keeping down prices and protecting consumers. In the United States, the Department of Justice and Federal Trade Commission have stepped up their scrutiny of...

Probate and Trust Litigation

Despite the best intentions, many times related parties struggle to find common ground during the challenging time of an estate plan execution. Private wealth disputes can be complex and emotional matters involving important legal and financial considerations. At...

Probate, Estate, and Trust Administration

At Flannery | Georgalis, our attorneys have extensive experience handling the administration of estates and trusts, both simple and complex. We know this can be a challenging and emotional time for everyone involved, and we work with our clients to make the process as...

Estate Planning

The process of developing an estate plan and navigating the laws that govern them are increasingly complex and challenging. It is critically important that the estate you have built for future generations of your family is protected. At Flannery | Georgalis, our Team...