SEC Investigations and Enforcement

The Securities & Exchange Commission (the “SEC”) is the primary overseer and regulator of the U.S. securities markets. Each year the SEC brings hundreds of civil enforcement actions against individuals and companies for violation of the securities laws. Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them.

Paul and Chris have decades of experience representing companies, officers, directors, and employees in matters being investigated by the SEC. As federal prosecutors, they investigated and charged public companies, officers, directors, brokers, and individuals, and worked on numerous parallel investigations with the SEC. From responding to SEC voluntary requests and subpoenas, to representing individuals at proffers or depositions, to assisting clients through all stages of an SEC investigation to trial, Paul and Chris have the necessary experience to obtain the best results for their clients.

Our Experience

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

Investigated and prosecuted on behalf of the government $54 million securities fraud scheme involving “pump and dump” market manipulation, illegal kickbacks, and other fraudulent conduct