top of page

DOJ & SEC Enforcement 

When faced with government investigations and prosecutions, it is essential to take strong positions and make strategic moves.  It starts with quickly assessing where the government is focused and understanding the facts and the company’s business.  Taking any subpoenas or informal requests seriously.  Developing the right approach for defending direct actions.

 

Concurrent litigation.  Public and investor scrutiny.  Brand.  Personal reputation.  Situations are unique and complex.  We partner with you to navigate it all.

REPRESENTATIVE MATTERS

​

  • Successfully defended companies and individuals in government enforcement matters, resolving without prosecution or with favorable settlement  

​

  • Managed a DOJ investigation into statements to the Government in connection with federal loan program

​

  • Handled DOJ subpoenas related to criminal prosecution of individuals and competitors with potential for corporate clients to become targets

​

  • Managed inquiry from FINRA related to trading by executives. 

​

  • Handled SEC investigation into financial disclosures by public entity

​

  • Handled SEC investigation into accounting practices and financial reporting by public company

bottom of page