SEC Investigations and Enforcement

It is our hope that we can help our clients avoid this area of practice, but in the current strict regulatory environment, investigations and enforcement actions are a reality that must be dealt with.  We have the experience and knowledge to represent issuers and individuals in connection with SEC inquiries and enforcement actions including:

  • Corresponding with regulatory agencies on the client’s behalf
  • Assisting with providing documents in connection with receiving a subpoena
  • Providing testimony to the Securities and Exchange Commission, as well as other regulatory agencies