dcsimg SEC Enforcement Defense

SEC Enforcement Defense

The SEC enforcement defense team — a practice within the GRCI Department — is a seasoned group of practitioners with extensive experience in private practice and in government. McGuireWoods regularly represents public companies, broker-dealers, investment advisers, hedge funds, accounting firms and their officers, directors and employees in the full spectrum of investigations and proceedings initiated by the SEC, PCAOB, FINRA, DOJ, Congress, state regulators and attorneys general, and other government agencies.

We also counsel public companies and regulated entities on securities law and other regulatory issues, and help clients design, build, implement and assess compliance programs and corrective measures to prevent future violations of law and corporate policy. This depth of experience, combined with our breadth of knowledge of industry practices and regulations, is key to our proven track record of success.

Regardless of the type of matter under investigation, McGuireWoods can help. Areas in which we have significant experience include:

  • Financial disclosures
  • Broker-dealer sales practices
  • Securities offerings
  • Securities and broker-dealer registration
  • Financial fraud
  • Foreign Corrupt Practices Act
  • Market manipulation and trading practices
  • Ponzi schemes
  • Insider trading

CONTACTS

Robert Plotkin Partner T: +1 202 857 1750
Results 1-6 of 6

RESULTS DEPEND ON A VARIETY OF FACTORS UNIQUE TO EACH CASE. PRIOR RESULTS DO NOT GUARANTEE OR PREDICT A SIMILAR OUTCOME.

Representative Matter

Global media and communications company

Representation of a global media and communications company in DOJ and SEC investigations related to the accounting treatment of online advertising revenues.
Representative Matter

Global manufacturing and services provider

Representation of a global manufacturing and services provider in a wide range of investigations including DOJ investigations and appearances before the SEC, on behalf of several current and former employees within the company’s management during an SEC investigation of past accounting practices.
Representative Matter

Variety of financial institutions

Representation of a variety of financial institutions before the SEC in all manner of inquiries and formal investigations, including preparing and defending executives during interviews and testimony before the commission, responding to Wells submissions, and potential litigation against the enforcement division.
Representative Matter

Fortune 500 company

Representation of a Fortune 500 company during federal grand jury investigation regarding stock option backdating.
Representative Matter

A large international bank headquarted in Canada

Representation of a large international bank headquarted in Canada in the dismissal of fraud claims arising out of the Enron scandal. The plaintiffs had opted out of the Enron class action dismissed in 2009, and several other banks had previously settled the case with them, so our client was the only remaining defendant.
Representative Matter

Large international bank headquartered in Canada

Representation of a large international bank headquartered in Canada in litigation related to the Enron scandal.
Results 1-6 of 6
Franklin D Annand Franklin D. Annand
Associate
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 1755
F: +1 202 857 2959
vCard
Michael Baudinet Michael A. Baudinet
Associate
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 1139
F: +1 804 698 2199
vCard
Ryan Bonistalli Ryan E. Bonistalli
Associate
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 1014
F: +1 804 698 2036
vCard
Jeffrey J Chapman Jeffrey J. Chapman
Partner
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 7060
F: +1 212 715 6277
vCard
C. Simon Davidson C. Simon Davidson
Counsel
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 1059
F: +1 804 698 2256
vCard
Jeremy D Freeman Jeremy D. Freeman
Partner
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 7008
F: +1 212 715 6269
vCard
James C Freije James C. Freije
Attorney
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 1702
F: +1 202 828 3314
vCard
Louis Greenstein Louis D. Greenstein
Partner
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 2415
F: +1 202 828 3310
vCard
Cheryl Haas Cheryl L. Haas
Partner
Promenade
1230 Peachtree Street, N.E.
Suite 2100
Atlanta, GA 30309-3534

T: +1 404 443 5726
F: +1 404 443 5777
vCard
Jeffrey M Hanna Jeffrey M. Hanna
Associate
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 1001
F: +1 804 698 4671
vCard
Wen Hutchinson Wen Hutchinson
Partner
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2008
F: +1 704 353 6219
vCard
Nicholas B. Lewis Nicholas B. Lewis
Associate
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 857 1771
F: +1 202 828 3306
vCard
Jessica E Morrison Jessica E. Morrison
Partner
7 Saint Paul Street
Suite 1000
Baltimore, MD 21202-1671

2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 410 659 4425
F: +1 410 659 4483
vCard

T:+1 202 857 1705

Robert Plotkin Robert Plotkin
Partner
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 202 857 1750
F: +1 202 828 2970
vCard

T:+1 212 548 7098
F: +1 212 548 2150

Ed Rosenblatt Edward G. Rosenblatt
Senior Counsel
201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146

T: +1 704 343 2341
F: +1 704 373 8837
vCard
Stephen B Sandover Stephen B. Sandover
Counsel
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 7006
F: +1 212 715 2313
vCard
James A Sherman James A. Sherman
Attorney
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 828 2889
F: +1 202 828 2972
vCard
Michael L Simes Michael L. Simes
Partner
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 7013
F: +1 212 715 6260
vCard
Darren William Stanhouse Darren William Stanhouse
Associate
434 Fayetteville Street
Suite 2600
Raleigh, NC 27601

T: +1 919 755 6667
F: +1 919 755 6618
vCard
Samantha E Thompson Samantha E. Thompson
Attorney
2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +1 202 828 2830
F: +1 202 857 1737
vCard
Cristin K Traylor Cristin K. Traylor
Counsel
One James Center
901 East Cary Street
Richmond, VA 23219-4030

T: +1 804 775 4354
F: +1 804 698 2216
vCard
Molly White Molly M. White
Partner
1800 Century Park East
8th Floor
Los Angeles, CA 90067-1501

T: +1 310 956 3423
F: +1 310 956 3143
vCard
Walter H White Jr. Walter H. White Jr.
Partner
11 Pilgrim Street
London EC4V 6RN
United Kingdom

2001 K Street N.W.
Suite 400
Washington, DC 20006-1040

T: +44 20 7632 1630
F: +44 20 7632 1638
vCard

T:+1 202 857 1707
F: +1 202 828 2969

Laurent S Wiesel Laurent S. Wiesel
Partner
1345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

T: +1 212 548 2140
F: +1 212 715 6281
vCard
Andrew R Woltman Andrew R. Woltman
Associate
77 West Wacker Drive
Suite 4100
Chicago, IL 60601-1818

T: +1 312 750 2772
F: +1 312 698 4560
vCard
Results 1-20 of 31
Show All
Legal Alert

All Relief Sought by SEC Subject to 5-Year Statute of Limitations

Subject to Inquiry
May 21, 2014
Legal Alert

An Update on Rule 105 Enforcement

Subject to Inquiry
March 3, 2014
Article

FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings

Practical Law The Journal
September 2011 (Revised January 2014)
Legal Alert

A New Era of Openness, or Open Season on Hedge Funds?

Subject to Inquiry
October 29, 2013
Legal Alert

SEC Supervisory Liability FAQs

October 15, 2013
Legal Alert

Don't Sell Yourself Short: Rule 105 Compliance

Subject to Inquiry
September 19, 2013
Legal Alert

In a First, SEC Sanctions Employee for Misleading Chief Compliance Officer

Subject to Inquiry
September 11, 2013
Article

SEC makes first move to clarify new settlement policy

Los Angeles Daily Journal
September 6, 2013
Results 1-20 of 31