SEC/White Collar Defense

Our securities lawyers regularly represent companies and individuals who are targets, subjects, or witnesses in U.S. Securities Exchange Commission (SEC) and other regulatory investigations and enforcement proceedings and related criminal proceedings concerning:

  • Insider trading and other financial fraud, financial disclosure issues, investment advisor and investment company issues, and broker-dealer issues; and
  • Federal and state criminal proceedings and regulatory investigations, including informal inquiries and formal investigations, grand jury, SEC, DOJ, CFTC, and FINRA investigations, criminal trials, and appeals, in securities fraud and related violations.

Our securities attorneys have represented companies and individuals in securities litigation cases throughout the U.S. and have handled cases involving investigation and enforcement actions by the SEC, the U.S. Department of Justice (DOJ) and state attorneys general.

Our securities attorneys also assist in internal investigations in a wide variety of alleged wrongdoing, including financial statement fraud, stock irregularities, and insider trading. Our securities lawyers are frequently called upon to represent our clients in connection with SEC, DOJ, FINRA and other federal and state investigations and prosecutions, and to conduct internal corporate investigations involving securities fraud and insider trading.

Our representation includes:

  • Defending clients at every stage of criminal, civil, regulatory and/or parallel civil proceedings, from regulatory inquiries and criminal investigations through trial, if a trial takes place;
  • Formulating strategies and responding to informal requests for information, document subpoenas, and search warrants; and
  • Counseling clients concerning corporate governance issues and structuring compliance programs.

Former SEC Assistant Regional Director, Robert Heim, can also provide you with expert witness services. If you require an expert witness, please click here to find out more information or contact us.

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