Best Lawyers for Litigation - Regulatory Enforcement (SEC, Telecom, Energy) in America

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Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Litigation - Environmental Appellate Practice Energy Regulatory Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation Litigation - Banking and Finance
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Wichita, Kansas
  • Practice Areas:
    Litigation - Intellectual Property Commercial Litigation Litigation - Securities Legal Malpractice Law - Defendants Litigation - Labor and Employment Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Lansing, Michigan
  • Practice Areas:
    Administrative / Regulatory Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Utilities Law
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Commercial Litigation Corporate Compliance Law Litigation - ERISA Litigation - Securities Litigation - First Amendment Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Governance Law
Lawyer
David E. Barry was awarded 2020 "Lawyer of the Year" in Elasticsearch.PracticeArea

David E. Barry

Pierce Atwood LLP
  • Location:
    Portland, Maine
  • Practice Areas:
    Commercial Litigation Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation
Lawyer
James J. Belanger was awarded  "Lawyer of the Year" in

James J. Belanger

J. Belanger Law PLLC
  • Location:
    Tempe, Arizona
  • Practice Areas:
    Criminal Defense: General Practice Ethics and Professional Responsibility Law Criminal Defense: White-Collar Qui Tam Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Memphis, Tennessee
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Real Estate Commercial Litigation Litigation - Banking and Finance
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Litigation - Securities Litigation - ERISA Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Bet-the-Company Litigation
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Bet-the-Company Litigation Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Litigation - Banking and Finance
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Biotechnology and Life Sciences Practice
Lawyer
  • Location:
    Kansas City, Missouri
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust Commercial Litigation
Lawyer
Guy M. Burns was awarded 2020 "Lawyer of the Year" in Elasticsearch.PracticeArea

Guy M. Burns

Johnson, Pope, Bokor, Ruppel & Burns LLP
  • Location:
    Tampa, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Securities / Capital Markets Law Litigation - Banking and Finance
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Legal Malpractice Law - Defendants Litigation - Securities Commercial Litigation Litigation - Bankruptcy
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - First Amendment Litigation - Environmental Litigation - Intellectual Property Litigation - Antitrust Commercial Litigation Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Oil and Gas Law Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Commercial Litigation Litigation - Banking and Finance Bet-the-Company Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Litigation - Securities Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Indianapolis, Indiana
  • Practice Areas:
    Litigation - Securities Commercial Litigation Securities Regulation Bet-the-Company Litigation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Energy Regulatory Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Administrative / Regulatory Law Utilities Law Litigation - Environmental
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Antitrust Litigation - Environmental
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Litigation - Intellectual Property Commercial Litigation
Lawyer
  • Location:
    Lansing, Michigan
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Health Care Law Commercial Litigation Insurance Law Litigation - Banking and Finance Litigation - Real Estate Litigation - ERISA
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Tallahassee, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Health Care Law
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Criminal Defense: White-Collar Government Relations Practice Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Administrative / Regulatory Law Litigation - Antitrust
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Litigation - Intellectual Property Commercial Litigation Litigation - Antitrust Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental
Lawyer
  • Location:
    Austin, Texas
  • Practice Areas:
    Bet-the-Company Litigation Personal Injury Litigation - Defendants Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Plaintiffs Litigation - Real Estate Litigation - Trusts and Estates Litigation - Construction Commercial Litigation
Lawyer
  • Location:
    Raleigh, North Carolina
  • Practice Areas:
    Health Care Law Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Antitrust Administrative / Regulatory Law
Lawyer
  • Location:
    Albany, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Health Care Law Litigation - Antitrust Commercial Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Bet-the-Company Litigation Commercial Litigation Litigation - Securities Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Commercial Litigation Securities Regulation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities / Capital Markets Law Litigation - Securities
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Real Estate Litigation - Securities Commercial Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Litigation - Securities Corporate Governance Law Commercial Litigation
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Government Relations Practice Government Contracts
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities / Capital Markets Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Corporate Governance Law Corporate Compliance Law Securities Regulation
Lawyer
  • Location:
    Troy, Michigan
  • Practice Areas:
    Environmental Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Litigation - Banking and Finance Commercial Litigation Litigation - Securities Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Baton Rouge, Louisiana
  • Practice Areas:
    Corporate Compliance Law Business Organizations (including LLCs and Partnerships) Litigation - Securities Closely Held Companies and Family Businesses Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation and Controversy - Tax Mergers and Acquisitions Law Government Relations Practice Corporate Law Corporate Governance Law Reinsurance Law
Lawyer
  • Location:
    Morristown, New Jersey
  • Practice Areas:
    Commercial Litigation Litigation - Antitrust Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Health Care Law
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Securities Antitrust Law Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Rochester, New York
  • Practice Areas:
    Litigation - Securities Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Commercial Litigation Criminal Defense: White-Collar
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Legal Malpractice Law - Defendants Legal Malpractice Law - Plaintiffs Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Ethics and Professional Responsibility Law
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Construction Litigation - Insurance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation Litigation - Banking and Finance Personal Injury Litigation - Plaintiffs Product Liability Litigation - Defendants Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Commercial Litigation Criminal Defense: White-Collar Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Biotechnology and Life Sciences Practice Commercial Litigation Criminal Defense: White-Collar Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Newark, New Jersey
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Overland Park, Kansas
  • Practice Areas:
    Commercial Litigation Mining Law Litigation - Antitrust Securities / Capital Markets Law Bet-the-Company Litigation Litigation - Banking and Finance Corporate Law Litigation - Securities Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Portland, Maine
  • Practice Areas:
    Arbitration Litigation - Construction Commercial Litigation Appellate Practice Bet-the-Company Litigation Mediation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Defendants
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
Carter G. Phillips was awarded 2020 "Lawyer of the Year" in Elasticsearch.PracticeArea

Carter G. Phillips

Sidley Austin LLP
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Media Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Appellate Practice Litigation - Patent Bet-the-Company Litigation Litigation - First Amendment First Amendment Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Bet-the-Company Litigation Corporate Governance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Compliance Law Criminal Defense: White-Collar
Lawyer
  • Location:
    Charleston, West Virginia
  • Practice Areas:
    Commercial Litigation Mining Law Energy Law Litigation - Land Use and Zoning Oil and Gas Law Litigation - Municipal Environmental Law Natural Resources Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental
Lawyer
  • Location:
    West Hartford, Connecticut
  • Practice Areas:
    Antitrust Law Commercial Litigation Criminal Defense: White-Collar Litigation - Antitrust Bet-the-Company Litigation Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: General Practice
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Litigation - Banking and Finance Legal Malpractice Law - Defendants Commercial Litigation Litigation - Antitrust Litigation - Bankruptcy Workers' Compensation Law - Employers Litigation - Insurance Insurance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Defendants
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust
Lawyer
  • Location:
    Tallahassee, Florida
  • Practice Areas:
    Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Ethics and Professional Responsibility Law Commercial Litigation
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Tucson, Arizona
  • Practice Areas:
    Litigation - Labor and Employment Litigation - Banking and Finance Commercial Litigation Litigation - Real Estate Mass Tort Litigation / Class Actions - Plaintiffs Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Plaintiffs Personal Injury Litigation - Defendants
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Criminal Defense: White-Collar Qui Tam Law Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation
Lawyer
  • Location:
    Tampa, Florida
  • Practice Areas:
    Financial Services Regulation Law Banking and Finance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Columbus, Ohio
  • Practice Areas:
    Energy Law Bet-the-Company Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Appellate Practice Commercial Litigation
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Commercial Litigation Litigation - Securities Corporate Compliance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Des Moines, Iowa
  • Practice Areas:
    Administrative / Regulatory Law Communications Law Water Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Energy Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Securities Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
Franklin B. Velie was awarded  "Lawyer of the Year" in

Franklin B. Velie

Pierce Bainbridge Beck Price & Hecht LLP
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Criminal Defense: White-Collar Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Appellate Practice Native American Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar First Amendment Law Litigation - Intellectual Property Bet-the-Company Litigation Litigation - First Amendment Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Sioux Falls, South Dakota
  • Practice Areas:
    Administrative / Regulatory Law Health Care Law Bet-the-Company Litigation Litigation - Antitrust Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Labor and Employment Energy Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Securities Criminal Defense: White-Collar Litigation - Environmental
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Municipal Commercial Litigation Criminal Defense: White-Collar Personal Injury Litigation - Defendants
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Compliance Law Administrative / Regulatory Law
Lawyer
Mark W. Williams was awarded  "Lawyer of the Year" in

Mark W. Williams

Sherman & Howard L.L.C.
  • Location:
    Denver, Colorado
  • Practice Areas:
    Banking and Finance Law Arbitration Communications Law Technology Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Litigation - Antitrust Litigation - Bankruptcy Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Litigation - Banking and Finance Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation

  • Location:
  • Practice Areas:

Practice Area Definition

Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Definition

Defending organizations and individuals in regulatory enforcement actions entails interacting with a complex web of federal and state administrative agencies, statutes, regulations, and rules. Federal regulatory agencies in the securities/commodities, telecommunications, and energy fields include the U.S. Securities and Exchange Commission, Commodity Futures Trading Commission, Federal Communications Commission, and Federal Energy Regulatory Commission. Most states also have their own companion regulatory agencies and utility commissions, each with their own enforcement regimes.

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.

Brian Neil Hoffman, Of Counsel
Morrison & Foerster LLP

Morrison & Foerster LLP logo

Defending organizations and individuals in regulatory enforcement actions entails interacting with a complex web of federal and state administrative agencies, statutes, regulations, and rules. Federal regulatory agencies in the securities/commodities, telecommunications, and energy fields include the U.S. Securities and Exchange Commission, Commodity Futures Trading Commission, Federal Communications Commission, and Federal Energy Regulatory Commission. Most states also have their own companion regulatory agencies and utility commissions, each with their own enforcement regimes.

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.