SEC Investigations / Government Enforcement

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We regularly represent both individuals and institutions in all phases of government investigations and proceedings, including engagements before the U.S. Securities and Exchange Commission, self-regulatory organizations, state attorneys general, ethics bodies, and criminal authorities. We have the expertise to navigate the nuances presented in these cases, which often take the form of parallel regulatory investigations and criminal enforcement actions. The issues we've tackled run the gamut from insider trading to options backdating, stock manipulation, and improper sales practices, and from complex accounting questions, misrepresentations and omissions in sales materials.

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