SEC Enforcement
Strategic and sophisticated counsel in the ever-changing climate of SEC Enforcement.
Securities matters can be prosecuted by the U.S. Securities and Exchange Commission (civilly) and by the U.S. Department of Justice (criminally) or by State Attorneys General both civilly and criminally. Our lawyers include former senior SEC and DOJ trial attorneys and supervisors deeply experienced in every stage of proceedings, from investigation to charging to trial and beyond. That experience has earned Dailey LLP recognition through a Chambers Spotlight ranking for White Collar Crime & Government Investigations. Relying on that proven expertise, we construct meaningful strategies geared to deliver the best possible result for each client. We work against or with the government depending on the client’s needs and circumstances to achieve effective and efficient outcomes. When necessary, we are prepared to litigate, leveraging a trial-tested team that has tried more than 100 cases to verdict. In short, we do everything necessary to protect our clients and their interests.
Our Clients Include:
- Officers & Directors of Public Companies
- Accountants & Auditors
- Investment Advisers
- Hedge Funds
- Broker-Dealers
- Mutual Funds
- Privately-held Companies and Individuals involved in government investigations
The types of cases we handle involve:
- Insider Trading
- Disclosure Violations
- Financial Accounting Practices & Controls
- Registration and Market Trading Practices
- FCPA Violations
- Sales Practice Disputes
- Whistleblower Matters
- FINRA Rule Violations
Representative Matters
- Represented prominent figure in SEC’s investigation and prosecution of FTX and Sam Bankman-Fried
- Represented Chief Information Security Officer (CISO) in SEC investigation into cyber disclosures of large public company
- Successfully represented CFO and COO of a Fortune 500 company in SEC investigation of earnings management and revenue recognition practices. Investigation closed with no charges brought.
- Counselled blockchain company and chief executive in SEC investigation of unregistered sale and touting of digital assets.
- Secured favorable disposition—including no charges—for trader of American Depository Receipts amid SEC and DOJ Antitrust investigations into improper bidding.
- 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.
- Represented CEO of NYSE-listed company in SEC investigation into accounting and reporting matters involving revenue recognition and contingency reserves; no charges brought.
- 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.
- Represented hundreds of broker-dealers and registered representatives in FINRA customer arbitrations and enforcement proceedings.
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Representative Matters
- Represented prominent figure in SEC’s investigation and prosecution of FTX and Sam Bankman-Fried
- Represented Chief Information Security Officer (CISO) in SEC investigation into cyber disclosures of large public company
- Successfully represented CFO and COO of a Fortune 500 company in SEC investigation of earnings management and revenue recognition practices. Investigation closed with no charges brought.
- Counselled blockchain company and chief executive in SEC investigation of unregistered sale and touting of digital assets.
- Secured favorable disposition—including no charges—for trader of American Depository Receipts amid SEC and DOJ Antitrust investigations into improper bidding.
- 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.
- Represented CEO of NYSE-listed company in SEC investigation into accounting and reporting matters involving revenue recognition and contingency reserves; no charges brought.
- 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.
- Represented hundreds of broker-dealers and registered representatives in FINRA customer arbitrations and enforcement proceedings.