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

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Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Appellate Practice Energy Regulatory Law Litigation - Environmental Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities 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 - Antitrust Litigation - Labor and Employment Bet-the-Company Litigation Litigation - Securities Litigation - Intellectual Property Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Legal Malpractice Law - Defendants
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Corporate Governance Law Corporate Compliance Law Commercial Litigation Litigation - ERISA Litigation - First Amendment Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
David E. Barry was awarded  "Lawyer of the Year" in

David E. Barry

Pierce Atwood LLP
  • Location:
    Portland, Maine
  • Practice Areas:
    Bet-the-Company Litigation Criminal Defense: White-Collar Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Real Estate Litigation - Mergers and Acquisitions Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Insurance
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Litigation - Intellectual Property Litigation - Securities
Lawyer
James J. Belanger was awarded  "Lawyer of the Year" in

James J. Belanger

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

Guy M. Burns

Johnson, Pope, Bokor, Ruppel & Burns LLP
  • Location:
    Tampa, Florida
  • Practice Areas:
    Securities / Capital Markets Law Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Antitrust Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Appellate Practice Litigation - Environmental Litigation - Antitrust Commercial Litigation Litigation - First Amendment Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Litigation - Securities Oil and Gas Law Bet-the-Company Litigation Commercial Litigation Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Energy Regulatory Law Utilities Law Litigation - Environmental Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Administrative / Regulatory Law
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Litigation - Antitrust Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Criminal Defense: White-Collar Appellate Practice Bet-the-Company Litigation Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Lansing, Michigan
  • Practice Areas:
    Litigation - Real Estate Insurance Law Health Care Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - ERISA Litigation - Banking and Finance
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Litigation - Securities Commercial Litigation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Administrative / Regulatory Law Litigation - Antitrust Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Commercial Litigation Government Relations Practice
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Litigation - Environmental Bet-the-Company Litigation Litigation - Intellectual Property Litigation - Antitrust Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Criminal Defense: General Practice Litigation - Banking and Finance
Lawyer
  • Location:
    Pittsburgh, Pennsylvania
  • Practice Areas:
    Commercial Litigation Litigation - Environmental Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Austin, Texas
  • Practice Areas:
    Personal Injury Litigation - Plaintiffs Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Construction Litigation - Real Estate Personal Injury Litigation - Defendants Litigation - Trusts and Estates
Lawyer
  • Location:
    Raleigh, North Carolina
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Antitrust Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Health Care Law Appellate Practice Administrative / Regulatory Law
Lawyer
  • Location:
    Albany, New York
  • Practice Areas:
    Commercial Litigation Litigation - Antitrust Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Health Care Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Banking and Finance Criminal Defense: White-Collar Criminal Defense: General Practice Bet-the-Company Litigation Administrative / Regulatory Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Banking and Finance Commercial Litigation Litigation - Securities Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Litigation - Securities Commercial Litigation Securities / Capital Markets Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Real Estate Litigation - Securities
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Bet-the-Company Litigation Corporate Governance Law
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 Corporate Governance Law Corporate Compliance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Litigation - Securities Criminal Defense: White-Collar
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation Bet-the-Company Litigation Corporate Compliance Law Securities / Capital Markets Law Corporate Governance Law
Lawyer
  • Location:
    Troy, Michigan
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Environmental Law
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Bet-the-Company Litigation Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Bet-the-Company Litigation Commercial Litigation Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Litigation - Environmental
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Criminal Defense: White-Collar Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Baton Rouge, Louisiana
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Reinsurance Law Litigation and Controversy - Tax Mergers and Acquisitions Law Corporate Law Business Organizations (including LLCs and Partnerships) Corporate Compliance Law Litigation - Securities Government Relations Practice Closely Held Companies and Family Businesses Law Corporate Governance Law
Lawyer
  • Location:
    Morristown, New Jersey
  • Practice Areas:
    Health Care Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Antitrust
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Antitrust Law Litigation - Securities
Lawyer
  • Location:
    Rochester, New York
  • Practice Areas:
    Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Litigation - Securities Commercial Litigation Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Legal Malpractice Law - Defendants Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Ethics and Professional Responsibility Law Legal Malpractice Law - Plaintiffs
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Litigation - Banking and Finance Litigation - Securities Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Insurance Litigation - Construction Personal Injury Litigation - Plaintiffs Product Liability Litigation - Defendants
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Bet-the-Company Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Criminal Defense: White-Collar Biotechnology and Life Sciences Practice Commercial Litigation 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)
Lawyer
  • Location:
    Overland Park, Kansas
  • Practice Areas:
    Litigation - Securities Litigation - Banking and Finance Mining Law Corporate Law Litigation - Antitrust Appellate Practice Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Securities / Capital Markets Law
Lawyer
  • Location:
    Portland, Maine
  • Practice Areas:
    Litigation - Construction Mediation Personal Injury Litigation - Defendants Appellate Practice Arbitration Commercial Litigation Bet-the-Company Litigation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
Carter G. Phillips was awarded 2019 "Lawyer of the Year" in Elasticsearch.PracticeArea

Carter G. Phillips

Sidley Austin LLP
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Media Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - First Amendment First Amendment Law Appellate Practice Commercial Litigation Litigation - Patent Bet-the-Company Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Bet-the-Company Litigation Corporate Compliance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Governance Law Criminal Defense: White-Collar
Lawyer
  • Location:
    Charleston, West Virginia
  • Practice Areas:
    Natural Resources Law Commercial Litigation Litigation - Land Use and Zoning Litigation - Municipal Mining Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Oil and Gas Law Energy Law Environmental Law Litigation - Environmental
Lawyer
  • Location:
    West Hartford, Connecticut
  • Practice Areas:
    Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Criminal Defense: General Practice Bet-the-Company Litigation Criminal Defense: White-Collar Litigation - Antitrust
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Litigation - Antitrust Personal Injury Litigation - Defendants Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Legal Malpractice Law - Defendants Insurance Law Commercial Litigation Litigation - Bankruptcy Litigation - Insurance Litigation - Banking and Finance Workers' Compensation Law - Employers
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Antitrust Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Tallahassee, Florida
  • Practice Areas:
    Ethics and Professional Responsibility Law Commercial Litigation Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Portland, Maine
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Litigation - Securities
Lawyer
  • Location:
    Tucson, Arizona
  • Practice Areas:
    Mass Tort Litigation / Class Actions - Plaintiffs Litigation - Real Estate Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Plaintiffs Litigation - Banking and Finance Personal Injury Litigation - Defendants
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Bet-the-Company Litigation Qui Tam Law Commercial Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Bet-the-Company Litigation Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
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:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Bet-the-Company Litigation Energy Law Appellate Practice
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Corporate Compliance Law Criminal Defense: White-Collar Commercial Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Litigation - Securities
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Criminal Defense: White-Collar
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    First Amendment Law Litigation - First Amendment Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Appellate Practice Commercial Litigation Criminal Defense: White-Collar Litigation - Intellectual Property Native American Law
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Sioux Falls, South Dakota
  • Practice Areas:
    Health Care Law Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Energy Law Litigation - Labor and Employment Litigation - Banking and Finance Litigation - Antitrust Administrative / Regulatory Law
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Environmental Bet-the-Company Litigation Litigation - Securities Criminal Defense: White-Collar Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Defendants Commercial Litigation Litigation - Municipal
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Antitrust Litigation - Bankruptcy Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Litigation - Securities
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Birmingham, Alabama
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance
Lawyer
  • Location:
    Kansas City, Missouri
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Energy Law

  • 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.