Assisting Clients With
Securities Enforcement &
Running a business successfully is complex enough without addressing the thousands of regulations you must obey. If you fail to comply with a securities law, you stand to lose business, profits, and precious time. Even an investigation from a self-regulatory agency can harm your operations.
Our firm can help. As a team of attorneys with decades of combined legal experience, we represent businesses and individuals in securities and commodities enforcement, and other regulatory defense cases. These matters include:
- Federal investigations from the U.S. Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”), Public Company Accounting Oversight Board (“PCAOB”), Commodity Futures Trading Commission (“CFTC”), National Futures Association (“NFA”), Internal Revenue Service (“IRS”), and others
- State investigations from the California Department of Financial Protection and Innovation, Attorney General’s Office, Department of Insurance, Department of Real Estate, and Board of Accountancy
- Noncompliance defense
- Disclosure issues
- External and internal audits
- Criminal securities fraud investigations
Often, we can work with the agencies to get you to the point of compliance. When necessary, we will tenaciously defend you from civil injunctive and/or administrative proceedings. Although we strive to minimize litigation to keep your costs low, we understand that sometimes it is necessary to take a case to trial. Our litigators have decades of experience handling civil trials and have secured hundreds of favorable verdicts.
Former Prosecutors & Enforcers
Who Are Now On Your Side
Before joining the firm, some of our attorneys worked as criminal prosecutors and/or regulators for the SEC and the California Department of Financial Protection and Innovation. As a result, we are very familiar with the regulations that businesses must follow. It also gives us a rare perspective that few other lawyers can provide. We understand what the regulators are looking for, so we understand how best to prepare and defend you in an investigation.
Get Our Knowledgeable
Your choice of counsel can mean the difference between continuing your business operations or facing financial ruin – and even criminal charges. For sophisticated, strong service in complex situations, turn to us. To reach our Los Angeles office to schedule a consultation, call 213-985-2200 or send us an email.