Facing an SEC Investigation?
Time is critical. Contact us immediately for a confidential consultation.
Schedule Your Free ConsultationOr call us directly (866) 312-5711
Facing SEC investigations or enforcement actions? Our seasoned SEC defense attorneys provide strong legal representation and expert guidance.
We like to remind clients that even a well-qualified single SEC defense attorney is no match for two SEC attorneys. Imagine a tennis game with one professional player on one side of the net and two professional players on the other. The side with two pro players will almost always win.
When facing the SEC, you need a team of experienced securities litigators who understand both the law and the practical realities of SEC enforcement.
Our SEC defense team includes attorneys with decades of experience handling SEC investigations, Wells notices, enforcement actions, and administrative proceedings.
Representation during SEC informal and formal investigations, including responding to document requests and preparing for testimony.
Strategic Wells notice submissions to persuade SEC staff not to recommend enforcement action.
Defense against SEC civil enforcement actions in federal court and administrative proceedings.
Defense against state securities regulators and blue sky enforcement actions.
Representation in FINRA investigations, enforcement actions, and arbitrations.
Defense against criminal securities fraud charges and DOJ investigations.
We work to resolve matters before they escalate to formal enforcement.
Careful management of document production to protect privileges and minimize exposure.
Thorough preparation for SEC testimony and depositions.
When appropriate, strategic settlement negotiations to minimize penalties and collateral consequences.
Time is critical. Contact us immediately for a confidential consultation.
Schedule Your Free ConsultationOr call us directly (866) 312-5711