Protecting You Through SEC Investigations

SEC investigations can be civil, criminal, or both — and they frequently lead to parallel criminal prosecution by the Department of Justice. Whether you have received an SEC subpoena, a Wells Notice, or are the subject of an informal inquiry, you need experienced defense counsel immediately.

Types of SEC Matters We Handle

• Securities fraud (Section 10(b), Rule 10b-5)
• Insider trading investigations
• Accounting fraud and financial statement manipulation
• Investment adviser fraud (Sections 206, 207 of the Investment Advisers Act)
• Broker-dealer violations
• Ponzi scheme defense
• SEC formal and informal investigations
• Wells Notice responses
• SEC enforcement actions