SEC Enforcement Matters

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

  • 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.