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SEC Investigations & Proceedings

Our securities enforcement lawyers bring to each engagement deep experience in investigating, prosecuting, defending and trying the most sophisticated administrative, civil, and criminal securities and commodities enforcement matters.

Our lawyers have served at the SEC and one is the former chief of the SEC Fraud Unit in the U.S. Attorney's office for the Southern District of New York. They represent clients before the SEC, the CFTC, industry self-regulatory organizations, and state securities commissioners, as well as various U.S. attorneys' offices and other units of the Department of Justice. Our lawyers have tried federal securities law charges before criminal juries, district judges, and administrative law judges. They also have been recommended by the SEC and by court appointment as consultants and to oversee settlements in SEC actions.

Our clients include public companies, directors and board committees, auditors, broker/dealers, hedge funds, investment advisors, mutual funds, law firms, and executives.

Featured Experience
Peter J. Romatowski