Securities & Regulatory Matters

A strong defense is just as crucial when representing clients during regulatory and enforcement matters because the consequences can be equally devastating.

Enforcement actions by regulators can produce devastating effects, both financially and professionally; having a strong defender by your side can make all the difference. We have experience handling regulatory investigations and enforcement actions in both the financial and healthcare industries. We have represented clients during investigations, administrative proceedings and enforcement actions by the Securities and Exchange Commission (SEC), the Department of Justice, and other law enforcement agencies, including the State of Florida Office of Financial Regulations (OFR), Centers for Medicare and Medicaid Services (CMS), and Health and Human Services, Office of Inspector General (HHS-OIG).

We have handled investigations involving alleged violations of federal and state securities laws, financial reporting violations, accounting fraud, insider trading, Foreign Corrupt Practice violations, health care fraud, improper sales practices, false claims, and drug mispricing and marketing.

We believe that the key to favorable outcomes in regulatory and civil enforcement actions is to gain a fast command of the facts and the law. We guide our clients through the process of complying with their obligations while protecting their rights. We deal directly with regulators to advocate their position with the goal of avoiding the damaging effects of an enforcement action. If there is no way to avoid the filing of an enforcement action, we have the trial experience to vigorously defend our clients’ interests in court.

Regulatory investigations often produce parallel proceedings that require a coordinated effort and defense. It is commonplace that a regulatory investigation in the financial industry will be accompanied by either a parallel civil proceeding brought by shareholders or a parallel criminal investigation being conducted by a prosecuting body. This is equally true of regulatory investigations in the healthcare industry. Our vast criminal defense experience helps us examine liability from many perspectives with a goal of avoiding the landmines that are inherent in parallel proceedings.

Here is a list of the kind of regulatory matters we can handle:

  • Representation during Investigation by SEC
  • Witness representation during questioning by SEC
  • Subpoena document issued by SEC
  • Subpoena for testimony issued by SEC
  • Civil enforcement action by SEC
  • False claims violations
  • Subpoena for documents

Your defense is serious business.

When you need a defense lawyer, you want someone as concerned as you are about the outcome. Over the years, we have dedicated ourselves to supporting clients with a strategic, thorough approach and resolute engagement.
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