SECURITIES ENFORCEMENT AND FINANCIAL INVESTIGATIONS

OVERVIEW

Pierce Bainbridge defends and counsels individual and corporate clients in a wide range of investigations and enforcement proceedings brought by the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), the Department of the Treasury, Office of Foreign Assets Control (“OFAC”), the Public Company Accounting Oversight Board (“PCAOB”), the Federal Trade Commission (“FTC”), and other federal and state regulatory agencies. We have a wealth of experience at every stage of an investigation, from conducting internal investigations, representing individuals in internal investigations, representing individuals in on-the-record investigative testimony, in proffer sessions to obtain cooperation agreements, in the Wells process, and in litigation through trial. The Securities Enforcement and Financial Investigations practice group works closely with the White Collar Criminal Defense practice group to evaluate clients’ criminal and avoid potential minefields, and with the firm’s seasoned commercial litigators to minimize exposure to private plaintiffs’ actions. The firm’s attorneys have vast experience representing clients in investigations and enforcement proceedings involving issues including:

  • asset valuation practices at hedge funds and financial firms;
  • asset-backed securities, credit default swaps, and other complex investment products;
  • providing or receiving improper gifts and entertainment;
  • falsifying books and records and accounting misconduct;
  • violations of export control regulations and trade sanctions programs;
  • stock option backdating schemes;
  • market manipulations;
  • LIBOR; and
  • parallel criminal and civil proceedings arising out of the same set of facts.

Contact: Eric M. Creizman

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