Enforcement proceedings initiated by the Securities and Exchange Commission and Department of Justice

When the SEC initiates an enforcement proceeding, the company in question should lean on the legal experience of a knowledgeable securities defense attorney. A skilled attorney is capable of defending both large corporations as well as sole proprietors in such an important scenario. Securities enforcement investigations are oftentimes egregiously complex. These challenges require the attention of an attorney who knows exactly how to navigate such matters with the artful precision of an experienced legal veteran.

A securities enforcement proceeding is often undertaken to investigate violations like securities fraud or unregistered offerings. Such proceedings can trigger a number of unfortunate results. These include temporary restraining orders (TROs), court ordered receiverships, disgorgement, preliminary and permanent injunctions, monetary penalties, asset freezes, director and officer bars and administrative orders that can bar organizations from the securities industry. Since the ramifications are often quite severe, a securities enforcement proceeding will require the legal experience of an attorney. He’ll help to protect the company’s brand, reputation and potential for profits.

An experienced attorney will understand the nuances of securities laws and regulations. The rules of the game aren’t static. They are dynamic, meaning that they change on a routine basis. Regulators and judges also have the freedom to make their own interpretation of the rules as they see fit. When the rules change, they can have an enormous impact on current cases and disputes. Without the help of an advanced legal team, a corporation faced with an enforcement proceeding will face a steep uphill challenge that is just about insurmountable. Life is much easier with a team of attorneys in your corner.

When an enforcement proceeding occurs, the attorney’s first responsibility is to handle the initial inquiry. He’ll be there for every critical juncture from there on out. After the inquiry, he’ll help to protect the company’s interests throughout the formal investigation. He’ll respond to administrative subpoenas for documents as well as “on the record” style testimony. His role will be essential during litigation, administrative hearings, pre-trial hearings, and any potential settlement negotiations.

These legal hurdles are significant and they have the potential to cripple an organization that lacks the proper legal representation and assistance. An accomplished litigator will draw on his breadth of securities knowledge and experience to handle an enforcement proceeding with the attention and care that it deserves. Savvy attorneys understand that each case requires an approach that is individual tailored to the specifics of the matter at hand. This attitude empowers a legal team to keep an open mind and determine the course of action that best serves the interests of each unique client.

 

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