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SEC Actions

SEC investigations and charges require a unique set of skills and experiences. We have them.

The Securities and Exchange Commission investigates and pursues matters related to investments, the stock market, and publicly traded companies. Individuals and entities typically learn of SEC investigations through subpoenas for documents or testimony. Receiving a subpoena from the SEC is a signal that you need the help of an experienced attorney.

We have represented individuals and organizations under investigation by the SEC.  We know the SEC’s procedures and how to use every tool available to head off charges by the SEC. We have represented individuals in SEC cases involving insider trading, revenue recognition, stock options backdating, and books and records charges.

We have experience in a wide variety of criminal cases related to SEC investigations, including:

  • Mail and wire fraud
  • Money laundering
  • Mortgage and bank loan fraud
  • Internet and intellectual property crimes
  • Bribery and solicitation of bribery
  • Identity theft
  • Embezzlement

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