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SEC Enforcement Defense

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McGuireWoods represents institutions and individuals in a range of investigations and prosecutions involving federal and state securities laws. Our SEC enforcement defense attorneys have decades of cumulative experience defending international and domestic corporations and accounting firms, as well as officers, directors and auditors in a variety of high profile, complex matters.

These matters have included: investigations and prosecutions brought by the SEC; investigations by self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA, formerly NASD and certain areas of the NYSE); and actions brought by numerous state regulatory organizations and state attorneys general.

CONTACTS

Robert Plotkin Partner T: +1 202 857 1750
Results 1-5 of 5
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 instituations

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

Large international bank headquartered in Canada

Representation of a large international bank headquartered in Canada in litigation related to the Enron scandal.
Results 1-5 of 5
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
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
Jennifer L King Jennifer L. King
Associate 		201 North Tryon Street
Suite 3000
Charlotte, NC 28202-2146
T: +1 704 343 2170
F: +1 704 353 6153
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 		2001 K Street N.W.
Suite 400
Washington, DC 20006-1040
T: +1 202 857 1705
F: +1 202 828 2976
vCard
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
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
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 1-8 of 8
Legal Alert

During Testimony on SEC's Budget, Mary Jo White Comments on "No Admit, No Deny" Policy

May 14, 2013
Legal Alert

Recent SEC Enforcement Actions Demonstrate Increased Focus on Municipalities and Municipal Securities

May 7, 2013
Legal Alert

PCAOB Issues First Policy Statement Regarding Treatment of "Extraordinary Cooperation" in Investigations

May 2, 2013
Legal Alert

Extractive Industry Continues to be a Focus of Anticorruption Enforcement

April 19, 2013
Legal Alert

To Follow, Like or Retweet?

SEC Issues Guidance on Social Media for Companies

April 9, 2013
Legal Alert

U.S. Supreme Court Narrows SEC's Ability to Seek Civil Penalties in Enforcement Actions

February 28, 2013
Legal Alert

Avoiding Waiver of the Attorney-Client Privilege

Why it's Necessary to Take Precautions in Responding to Government Subpoenas and Discovery Requests

February 19, 2013
Legal Alert

SEC and DOJ Release Long Awaited FCPA Guidance

November 16, 2012
Results 1-8 of 8