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Securities Enforcement

We represent corporations, boards, auditors and accountants, executives, and others facing scrutiny from the Securities and Exchange Commission, Department of Justice, state securities agencies, and other agencies and regulators in the U.S. and internationally. If charges are brought, we take clients through the entire process from investigation through litigation.

Why SECIL Law

Holistic experience in complex investigations

Several SECIL Law attorneys have extensive experience on the government side with the Securities and Exchange Commission or Department of Justice. We have been investigators and litigators in the SEC’s Division of Enforcement and Assistant U.S. Attorneys in the Department of Justice. We know how the government handles securities investigations and we work proactively with all stakeholders to secure favorable outcomes for our clients.

Often, investigations involve multiple agencies in the U.S. and around the world. We have led defense teams in joint DOJ/SEC investigations, in the European Union, and before other international financial regulators. We understand and effectively manage the dynamic and interrelated elements of these types of matters.

Where necessary, we also assist clients with remediation and compliance policies and procedures. [link to compliance page] Our team includes a forensic investigator as well as former in-house compliance attorneys. For example, our attorneys helped a multinational corporation create, implement, and follow through with a remedial plan across jurisdictions and business units. We help clients create and execute plans to bring them into compliance—and keep them in compliance over time.

SECIL Law attorneys also are experienced trial lawyers who have conducted numerous trials and arbitrations. If an investigation leads to criminal or civil litigation, we are with our clients throughout the process. We are tenacious litigators who combine thorough preparation of the facts of the case with our comprehensive knowledge of the law.

Who We’ve Helped

C-Suite

Represented the former vice president of operations of a U.S. software developer in parallel DOJ and SEC investigations into accounting for software sales, resulting in no indictment and no claims against our client.

Corporate directors and officers

Represented the chairman of Royal Dutch Shell’s Committee of Managing Directors in joint investigations by the DOJ, SEC, and UK Financial Services Authority and private securities class action litigation related to alleged fraud and other charges against the company. No charges were filed in any jurisdiction against our client and the client was dismissed from the class action cases.

Broker-dealer executives

Represented an assistant general counsel of a regional broker-dealer in a Financial Industry Regulatory Authority investigation into sales practices for variable annuities; no charges were brought against our client.

How We Can Help You

Auditors' Section 10A Reporting Obligation

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How to Determine the "Right" Lawyer for Individuals

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You're a firm with a Financial Adviser issue.

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