Our team has substantial experience guiding clients through SEC enforcement matters, especially where complex accounting issues are involved. Some recent examples include:

• Represent Investment Advisor in SEC investigation over certain disclosures related to fees and use of investor funds.
• Represent audit partner in SEC investigation of a commodities trading company where CEO settled with the SEC over allegations of fraud related to revenue recognition and other accounting issues.
• Represented an accounting firm in connection with an SEC investigation of a specialty finance lender and potential accounting issues related to securitizations and allowance for loss on receivables.
• Represented an accounting firm in connection with an SEC investigation of a hospital system and various potential accounting issues related to its issuance of bonds.
• Represented the former interim CEO and General Counsel of a life sciences company in connection with an SEC investigation of alleged insider trading and related party transactions by fund investors and former executives.
• Represented an accounting firm in an SEC investigation of a publicly traded bank holding company related to revenue recognition and its accounting for allowance for loss on receivables.
• Represented an accounting firm in an SEC investigation of a publicly traded bank related to revenue recognition issues.
• Represented an accounting firm in an SEC investigation of an energy company and its accounting for various acquisitions.