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Securities Litigation, Appeals & SEC Enforcement

SEC and State Securities Law Enforcement and Appeals


We represent persons of interest in government investigations SEC. Many of those investigations are conducted in parallel with state securities law enforcement agencies. We are experienced in assisting witnesses and targets of these law enforcement inquires in responding to requests for documents and information, preparing for witness testimony, and defending them if required to testify. Although we strive to avoid formal Wells notices, we can assist clients who have received such notices and respond to them as appropriate. When necessary we also represent clients in law-enforcement actions both in agency administrative proceedings or federal court actions.


FINRA Proceedings


FINRA, the broker-dealer self-regulatory organization, polices broker-dealers and their associated persons. FINRA investigates violations of FINRA rules, and the federal securities laws in association with the SEC. These proceedings are handled just as any other law enforcement inquiry, but FINRA members and their associated persons can be disciplined for failing to cooperate in a FINRA proceeding.


Related Civil and Appellate Litigation


Securities investigations often spawn related civil litigation. We represent companies involved in civil securities cases and in appeals. We have a deep level of substantive knowledge of the securities laws and have served as lawyers representing the SEC. That enables us to craft persuasive arguments on cutting-edge securities law issues. Where there is a valid enforceable arbitration agreement that forces the litigation into arbitration, we can help you as well.


We are also experienced appellate lawyers, having represented both the SEC and individual litigants in federal courts of appeals around the country. Appellate litigation requires a skillset distinct from that required at the initial (district/lower) court level. It is often beneficial to have a fresh set of eyes on the lower court record when establishing the strategy on appeal. For that reason it is not unusual to seek out specialized appellate lawyers for your appeal, regardless of the outcome of the case below. The manner of representation in oral argument also requires different skills. Our clients benefit from the substantial experience we bring to our appellate practice.

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