Corporate Responsibility - SEC Enforcement
SEC ENFORCEMENT
The SEC Defense component of our Corporate Responsibility Group has extensive experience in investigations by the SEC and various self-regulatory organizations, such as stock, options and futures exchanges, concerning potential violations of U.S. federal securities laws and the rules and regulations of the exchanges. While our work frequently involves high-profile matters that receive significant media coverage, our defense of clients in investigations often results in the termination of investigations with no action, thus keeping the concerns of the regulators from ever receiving public attention.
Our experience also includes representing clients in filed enforcement proceedings, such as SEC administrative proceedings, federal injunction actions and stock exchange disciplinary proceedings, such as delisting proceedings. We have also represented issuers, officers and directors in a wide variety of cases involving allegations of fraud in: the offer and sale of securities; earnings restatements; revenue recognition; Management's Discussion and Analysis (MD&A) disclosures; insider trading; and market manipulation, among other matters. Our Group includes several former SEC Division of Enforcement lawyers who are seasoned at trying cases involving these issues both on behalf of and against the SEC and other securities regulators.
Contacts
- Gordon A. Greenberg
310.551.9398
Send E-mail - Thomas J. Murphy
312.984.2069
Send E-mail
