Find Lawyers in Atlanta, Georgia for Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
I am a former federal prosecutor and the founder of ChaikenLaw Ltd. a national boutique white collar litigation and government investigations law firm. The firm represents companies and individuals in white collar criminal matters, grand jury investigations, government investigations and enforcement actions, internal investigations, corporate compliance program counseling, and complex civil litigation in state and federal courts. We have significant experience with matters involving securitie...
With 30 years of experience, Mary Gill is the senior woman in the Securities Litigation Group. She has been lead counsel in securities litigation, financial services litigation and complex transaction-related litigation across the country. Mary is highly experienced in representing companies and financial institutions and their officers and directors in investigations and enforcement actions by the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Federal ...
Mike McConnell defends officers, directors, and corporations in high-stakes securities and fiduciary duty litigation. The matters litigated include securities fraud class actions, SEC investigations and inquiries, derivative cases, proxy fraud litigation, and other matters that are often ancillary to shareholder litigation, including shareholder inspection actions, disputes under shareholder voting agreements, internal corporate investigations, and other special committee matters. Mike serves...
Henry Walker serves as the Chair of Kilpatrick Townsend & Stockton LLP. In this role, he oversees the strategic direction and growth of the firm. Mr. Walker plays a key role in building and maintaining strong relationships with clients and developing capabilities in key industries and markets. Mr. Walker leads the firm’s Executive Committee working closely with them to define and execute the firm’s strategic objectives. Prior to his election to Chairman, he served as the firm&...
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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