SEC Enforcement

Representative SEC Investigations

The firm represents individuals and entities in SEC investigations throughout the nation. Our experience includes:  

Financial Fraud

Representation of:

•  issuers, officers, directors and employees in investigations relating to alleged financial fraud with respect to SEC filings, shareholder reports and press releases

Insider Trading

Representation of:

•  issuers in investigations relating to alleged leaks to investors of negative information which was subsequently publicly disclosed
•  institutional investors who allegedly traded on information gleaned from corporate officials or securities analysts prior to the public dissemination
•  various individuals (officers, directors, venture capitalists) with respect to certain challenged trades

Manipulation and Registration

Representation of:

•  issuers and individuals in investigations relating to the alleged offer or sale of unregistered securities
•  issuers who have been victimized by short-sellers

Regulated Entities

Representation of:

•  investment advisers with respect to issues arising in SEC inspections
•  mutual fund account managers with respect to possible utilization of alleged investment opportunities of funds
•  investment companies in investigations relating to valuation and pricing of portfolios
•  transfer agents and custodians in investigations relating to various issues
•  investment companies and advisers with respect to adequacy of compliance procedures
•  broker-dealers and branch managers in "failure to supervise" investigations