Find Lawyers in Tampa, Florida for Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Guy is Johnson Pope's managing partner. He has over 40 years of trial experience with over 100 trials in State and Federal Courts, as well as dozens of trials conducted before arbitration panels. He primarily represents plaintiffs in complex commercial, securities, financial malpractice and consumer fraud litigation and in class actions, generally on a contingency fee basis. He also represents defendants in selected large, complex commercial disputes. He has successfully represented plaintiff...
Charles L. Stutts is a partner in Holland & Knight's Tampa office. Mr. Stutts practices in the firm's Business Law Department, with an emphasis on securities and banking law. As former general counsel to the Florida Comptroller's Office and the Department of Banking and Finance, he helped develop the agency's policies on banking, mortgage lending and securities regulation. Mr. Stutts also directed the agency's securities enforcement efforts and coordinated prosecutions under Florida's "an...
Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Definition
Additionally, certain organizations and individuals may be subject to disciplinary investigations and action by self-regulatory organizations overseen by an administrative agency, such as the Financial Industry Regulatory Authority or the Public Company Accounting Oversight Board. Many regulatory enforcement actions are civil proceedings; however, federal and state criminal agencies, including the Department of Justice and state Attorneys General, may share enforcement authority. Particularly egregious transgressions thus may be subject to criminal investigation and enforcement as well.
Regulatory enforcement matters are initiated in a variety of ways, including by a whistleblower tip, an agency’s own monitoring of the industry, or self-reporting by a firm or individual. Enforcement matters typically begin as a fact-finding investigation, which are often nonpublic. Agencies may have the authority to seek documents from companies, as well as to subpoena individuals to provide sworn testimony on the record. Information may be sought from third parties, as well as from firms and their current or former employees. Additionally, internal investigations conducted by independent outside counsel may precede or run in parallel with a regulatory investigation. Once an investigation is completed, enforcement personnel typically make a recommendation about the appropriate enforcement action to take, or whether to drop the matter. If approved, an enforcement action frequently, but not always, is filed as a public proceeding.
Regulatory enforcement defense attorneys counsel organizations and individuals through investigations and, if needed, litigation. Defense counsel acts as the primary contact with agency personnel, often gleaning valuable insights into an investigation’s direction and scope in the process, and presenting opportunities to advocate against further action involving a client. As a result, counsel frequently is retained early in an investigation. Likewise, regulatory enforcement attorneys regularly conduct, or represent individuals in, internal investigations. Regulatory enforcement counsel also defends clients against claims alleged in filed enforcement actions, which may proceed as an administrative hearing or as a lawsuit in the federal or state courts.
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