SEC Defense

With unprecedented resources, the Securities and Exchange Commission (SEC) and other marketplace watchdogs have vigorously pursued actions against financial services and investment firms and their owners, managers, and employees. These federal agencies often use the home-court advantage of administrative proceedings to seek various tough sanctions. Even in the most complex, high-profile, and contested matters, we have repeatedly managed to exonerate — or effect better outcomes — for our clients.

Representative Cases

  • Represented prominent investment adviser and its principal at trial in SEC enforcement proceeding alleging fraud in connection with offering of certain collateralized debt obligations (CDOs).
  • Represented stockbroker in state securities fraud prosecution, in which multi-week trial resulted in hung jury.
  • Represented CEO of financial services firm in Department of Justice/SEC investigation concerning alleged manipulation and fraud during valuation of credit default swaps in time of extreme market illiquidity.
  • Conducted independent investigation for hedge fund in response to SEC investigation; after presentation of investigation’s findings, SEC issued no-action letter.
  • Represented prominent portfolio manager and investment adviser in SEC investigation stemming from allegations of conflicts of interest.
  • Represented trader at global bank in joint Department of Justice/SEC, and UK Financial Services Authority investigation.
  • Represented trader at prominent bank in multi-jurisdictional investigation relating to LIBOR rates.
  • Represented state investment office, managing more than $20 billion in assets, in connection with Department of Justice and SEC “pay-to-play” investigations into state’s investments in hedge funds, private equity, fund of funds, public equity, and real estate.
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