SEC Enforcement Matters
Strategic and sophisticated counsel in the ever-changing climate of SEC Enforcement matters.
Our team guides clients through SEC enforcement matters, especially where complex accounting issues are involved. We have represented directors and officers, investment advisors, and accounting firms and their professionals in a wide variety of SEC investigations and enforcement proceedings. Unlike many firms that simply play defense, we understand the importance of being proactive and strategic in telling our client’s story and providing context around the events being investigated.
Our Clients Include:
- Investment Advisors
- Directors & Officers
- General Counsel
- Representing an Investment Advisor in an SEC investigation over certain disclosures related to fees and use of investor funds.
- Counseling an audit partner in an SEC investigation of a commodities trading company where the company CEO settled with the SEC over allegations of fraud related to revenue recognition and other accounting issues.
- Representing 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.
- Counseling 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.
- Representing an accounting firm in connection with an SEC investigation of a hospital system and various potential accounting issues related to its issuance of bonds.
- Representing 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.
- Representing 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.