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Securities Litigation SEC and Exchange Inquiries and Investigations
Securities Litigation SEC and Exchange Inquiries and Investigations | SEC and Exchange Inquiries and Investigations |
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Sarbanes-Oxley and related regulations have in recent years greatly expanded the liability of corporate executives and directors in securities, accounting, and other areas related to the filing of financial statements. Stradling’s Securities Litigators are at the forefront of helping companies adapt to this new environment, as well as representing them in all types of SEC enforcement actions and regulatory inquiries. Our attorneys have experience in defending companies, their officers, investment advisors and accountants in various formal and informal investigations and administrative proceedings involving allegations of:
We are adept at dealing with the SEC as an agency, its rules, practices and its staff, including employing so-called Wells Submissions to deter or scale back action against our clients. We also have the experience needed to try federal injunction requests - often on very short emergency deadlines - and represent our clients in administrative proceedings before the Financial Industry Regulatory Authority (“FINRA”) and other regulatory bodies. |