SEC Defense
SEC Regulatory Defense
Facing an SEC investigation or enforcement action? Our securities litigators provide seasoned representation from the first subpoena forward.
Why you need an experienced SEC defense team
We remind clients that even a well-qualified SEC defense attorney working alone is at a disadvantage against two. Picture a tennis match with one professional on one side of the net and two on the other.
When you face the SEC you need experienced securities litigators who understand both the law and the practical realities of enforcement.
Our SEC defense team includes attorneys with decades of experience in investigations, Wells notices, enforcement actions and administrative proceedings.
How we can help
01
SEC investigations
Representation in informal and formal investigations, including document requests and testimony.
02
Wells notice response
Strategic Wells submissions to persuade staff not to recommend enforcement action.
03
Enforcement actions
Defense of civil enforcement actions in federal court and administrative proceedings.
04
State securities defense
Defense against state securities regulators and blue sky enforcement.
05
FINRA defense
Representation in FINRA investigations, enforcement actions and arbitrations.
06
Criminal securities defense
Defense against criminal securities fraud charges and DOJ investigations.
Our approach
Early intervention
We work to resolve matters before they escalate to formal enforcement.
Document strategy
Careful management of production to protect privilege and limit exposure.
Witness preparation
Thorough preparation for SEC testimony and depositions.
Settlement negotiation
When appropriate, negotiation to minimize penalties and collateral consequences.
Related insight
Regulatory
A Wells notice is not a finding of wrongdoing, but it is the clearest signal that SEC staff intend to recommend charges. How you respond matters.
Facing an SEC investigation?
Time matters. Contact us now for a confidential consultation.
