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