Regulatory Proceedings

Areas of Emphasis

  • SEC Investigations
  • SEC Enforcement Actions
  • SEC Administrative Proceedings
  • PCAOB Proceedings
  • SRO Examinations and Enforcement
  • State Securities and Other Law Enforcement Investigations
  • Foreign Corrupt Practices Act Claim

Practice Overview

Our attorneys have extensive experience in all aspects of securities enforcement matters.  The firm frequently represents corporate and individual clients in SEC investigations and enforcement proceedings relating to financial disclosures and reporting, and insider trading issues.  We also assist clients in obtaining review of no-action and exemption requests.  As many of our attorneys are former CPAs or prosecutors, we can bring to each representation significant understanding of financial matters often central to these proceedings, and the ability to conduct effective and efficient investigations of allegedly improper conduct.  These matters have included claims of market and stock manipulation, insider trading, sales practice violations, failure to supervise, excessive underwriter’s compensation, fraudulent off-shore offerings, Foreign Corrupt Practices Act violations, unregistered investment advisers and floor broker front running.  We also have significant familiarity with coordinating our efforts in this field with ongoing criminal investigations.  In this highly sensitive area, many of our representations understandably remain confidential as they resulted in decisions not to bring public proceedings against our clients.