SEC Enforcement

Crowell & Moring's SEC enforcement practice covers the full range of securities fraud investigations, including federal and state grand juries, and inquiries initiated by the U.S. Securities and Exchange Commission (SEC), FINRA, and other regulatory and investigative bodies. Our experienced team consists of the former head of the SEC Fraud Section, former prosecutors and enforcement attorneys from the Department of Justice, U.S. Attorney's Offices, and the SEC. This combination of talent and government experience means that we are ready to counsel and, if necessary, litigate before any agency or court, and that we will do so in a way that balances regulatory compliance with each client’s continuing business needs and concerns. 

Representative Engagements

  • The registered investment adviser arm of a hedge fund with over $9 billion in assets under management in response to an SEC examination
  • A publicly traded health care company in connection with a FINRA insider trading inquiry
  • The former controller of a large sub-prime lender in a civil securities fraud case filed by the SEC following two years of parallel investigations by the U.S. Attorney and the SEC
  • A partner in a Big 4 accounting firm in response to an SEC investigation on synthetic leasing accounting issues (client not charged)
  • Brokerage professionals on various insider trading allegations
  • Multiple issuers and privately held companies and executives in the midst of parallel SEC and DOJ investigations concerning alleged FCPA violations