Regulatory Investigations and Enforcement Actions – SEC, FDIC, FINRA, etc.

Recently, in part because of the events leading up to the “great recession,” government regulators – including the SEC, FDIC, and the OCC — have tremendously increased the amount of resources devoted to investigations and enforcement actions. In today’s regulatory climate, businesses routinely receive regulatory subpoenas from various government agencies seeking documents and other information. In most instances these businesses are not being investigated for any wrongdoing – they merely possess documents and information that could be helpful to a government agency’s investigation or enforcement action. Nonetheless, it is imperative that these businesses seek advice from competent, experienced lawyers so that they are able to navigate the complicated process while protecting the businesses’ rights and minimizing costs.

When government regulators target businesses and/or their employees due to suspected wrongdoing, the government can issue regulatory subpoenas and obtain court injunctions, including seizure orders and asset-freeze orders. In some instances, these regulators even work on a parallel track with criminal agencies, who can obtain search warrants to seize documents and computers, and attempt to interview employees before they have an opportunity to obtain legal counsel. This can severely adversely impact the viability of any business. An experienced and aggressive team of lawyers are needed to respond immediately to the situation by implementing procedures and controls to minimize disruption of the business and to maximize the business’ chances for survival.

Our Lawyers have the experience and aggressiveness to handle these types of situations with competence and confidence. We have represented numerous businesses and individuals facing the situations outlined above, and we routinely achieve outstanding results for our clients in a cost-effective manner. Our approach differs depending upon the circumstances, but in every representation we bring to the table our longstanding reputation for competence, ethics, diligence, and advocacy on behalf our clients.

We regularly represent corporations, individuals, and other organizations before a broad range of governmental agencies. We have experience handling cases involving most governmental agencies, including the following agencies:

  • Securities and Exchange Commission (SEC)
  • Federal Deposit Insurance Corporation (FDIC)
  • Financial Industry Regulatory Authority (FINRA)
  • Federal Trade Commission (FTC)
  • Internal Revenue Service (IRS)
  • Federal Food and Drug Administration (FDA)
  • U.S. Commodities Futures Trading Commission
  • Occupational Safety and Health Administration (OSHA)
  • U.S. Department of Housing and Urban Development (HUD)
  • California Department of Corporations
  • California Department of Insurance
  • California Department of Motor Vehicles
  • California Department of Weights and Measures
  • California Franchise Tax Board
  • Los Angeles Ethics Commission
  • California State Bar