Securities Defense & Litigation

Securities laws are complex and are enforced with little mercy. Making the wrong moves during an investigation can result in expensive litigation and damaging negative publicity. We are experts at keeping our clients protected in transactional matters to avoid costly opportunities for shareholders and regulators to rock the corporate boat. Clients coming to us after preliminary contact with regulators give us the next best chance to steer them out of harm’s way and keeping names and reputations intact. We can still assist client sued by regulators or shareholders and we know which buttons to push to steer a case towards a defense verdict. Sometimes the only option is to go to trial. We have taken clients all the way in both jury trials and trials by judge.  InvestmentAttorneys has one of the leading securities enforcement and litigation practices in the US focusing on keeping our clients in compliance with financial regulatory requirements and out of expensive, high-profile financial litigation nationwide and across a variety of industries.

Our team is comprised of a former branch chief and litigator from the Division of Enforcement of the U.S. Securities and Exchange Commission with 10+ years of supervisory, investigative, and litigation experience at the SEC and a total of 25+ years of securities law practice and litigation on precedent-setting matters. InvestmentAttorneys can  protect your business and safeguard your reputation eliminating the impact a potential investigation may have on your company and your career.

Securities Law Compliance

  • Registered SEC & Private Securities Offering Compliance
  • M&A Deals
  • State Blue Sky Compliance
  • SEC Periodic Report Preparation
  • Repair of Non-Compliant Offerings
  • EB-5 and Investment Fund Offering Compliance
  • Investment Adviser and Broker Dealer Registration and Legal Compliance

Regulatory Defense & Litigation

  • Investigation and Litigation Defense in SEC, CFTC, FINRA, NFA and State Securities Commission Matters
  • Shareholder Derivative Actions
  • Criminal Financial Investigation, Grand Jury, and Litigation Defense
  • Securities Class Actions
  • Class Action Securities Litigation
  • Broker/Investment Advisor Arbitration Defense
  • Corporate and Shareholder Civil Litigation
  • General Commercial Litigation

Recent Significant Public Results

  • SEC purported $300 million “ponzi” scheme dismissed against all defendants on summary judgment motion.
  • One client dismissed after bench trial while others found liable in SEC case against control person of microcap company.
  • Eleventh Circuit Court of Appeals affirmed the dismissal of shareholder suit against our client company and president.
  • Client compliance officer of financial institution obtained hung jury after three-month federal criminal trial in purported financial transaction reporting fraud and money laundering case. A win for the defense.

Significant Non-Public Results

The best client results are obtained when they have avoided the court system or contact with the government in the first place.  The next best result is when they are not escalated to an enforcement investigation after an examination has concluded, or if there was no examination then they passed through an investigation without being charged with wrongdoing.  We can do the most for our clients at these early non-public stages. References are available.