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 Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Energy Regulatory Law
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Securities Regulation Litigation - Banking and Finance Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Wichita, Kansas
  • Practice Areas:
    Litigation - Labor and Employment Legal Malpractice Law - Defendants Commercial Litigation Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Litigation - Securities Litigation - Antitrust
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Securities Litigation - First Amendment Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Corporate Governance Law Corporate Compliance Law
Lawyer
David E. Barry was awarded 2018 "Lawyer of the Year" in Elasticsearch.PracticeArea

David E. Barry

Pierce Atwood LLP
  • Location:
    Portland, Maine
  • Practice Areas:
    Criminal Defense: White-Collar Bet-the-Company Litigation Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Securities Litigation - Insurance Litigation - Banking and Finance Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Real Estate
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Intellectual Property Commercial Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
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: White-Collar Qui Tam Law Commercial Litigation Criminal Defense: General Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Ethics and Professional Responsibility Law
Lawyer
  • Location:
    Memphis, Tennessee
  • Practice Areas:
    Litigation - Banking and Finance Litigation - Real Estate Bet-the-Company Litigation Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - ERISA Litigation - Securities
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 - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Securities
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Commercial Litigation Environmental Law
Lawyer
Guy M. Burns was awarded 2018 "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 - Banking and Finance Securities / Capital Markets Law Litigation - Securities
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Antitrust Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Appellate Practice Litigation - Antitrust Commercial Litigation Litigation - First Amendment Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Appellate Practice Oil and Gas Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Utilities Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Administrative / Regulatory Law Litigation - Environmental Energy Regulatory Law
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust Litigation - Environmental
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Appellate Practice Commercial Litigation Criminal Defense: White-Collar Bet-the-Company Litigation
Lawyer
  • Location:
    Lansing, Michigan
  • Practice Areas:
    Litigation - Banking and Finance Litigation - Real Estate Health Care Law Commercial Litigation Litigation - ERISA Insurance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Antitrust Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
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:
    Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust Criminal Defense: White-Collar Government Relations Practice
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Litigation - Environmental Commercial Litigation Bet-the-Company Litigation Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Commercial Litigation Criminal Defense: General Practice Criminal Defense: White-Collar
Lawyer
  • Location:
    Pittsburgh, Pennsylvania
  • Practice Areas:
    Litigation - Environmental Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Austin, Texas
  • Practice Areas:
    Personal Injury Litigation - Defendants Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Trusts and Estates Litigation - Real Estate Litigation - Construction Personal Injury Litigation - Plaintiffs
Lawyer
  • Location:
    Raleigh, North Carolina
  • Practice Areas:
    Health Care Law Appellate Practice Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Administrative / Regulatory Law Bet-the-Company Litigation Litigation - Antitrust
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:
    Criminal Defense: White-Collar Criminal Defense: General Practice Bet-the-Company Litigation Administrative / Regulatory Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation Securities / Capital Markets Law Litigation - Securities
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Real Estate Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Corporate Governance Law
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Government Relations Practice Litigation - Environmental Government Contracts Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Criminal Defense: White-Collar Bet-the-Company Litigation Corporate Compliance Law Litigation - Securities Corporate Governance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Criminal Defense: White-Collar Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Bet-the-Company Litigation Securities / Capital Markets Law Corporate Compliance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Securities Regulation Corporate Governance Law
Lawyer
  • Location:
    Troy, Michigan
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Environmental Law
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Bet-the-Company Litigation
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Environmental Commercial Litigation Bet-the-Company Litigation
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Baton Rouge, Louisiana
  • Practice Areas:
    Government Relations Practice Corporate Law Closely Held Companies and Family Businesses Law Mergers and Acquisitions Law Business Organizations (including LLCs and Partnerships) Corporate Compliance Law Litigation - Securities Litigation and Controversy - Tax Corporate Governance Law Reinsurance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Morristown, New Jersey
  • Practice Areas:
    Health Care Law Commercial Litigation Litigation - Antitrust Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Mergers and Acquisitions Antitrust Law Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Rochester, New York
  • Practice Areas:
    Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Commercial Litigation Bet-the-Company Litigation Litigation - Securities Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Ethics and Professional Responsibility Law Legal Malpractice Law - Plaintiffs Legal Malpractice Law - Defendants Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Commercial Litigation Litigation - Insurance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Construction Product Liability Litigation - Defendants Litigation - Securities
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Commercial Litigation Bet-the-Company Litigation Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Newark, New Jersey
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Overland Park, Kansas
  • Practice Areas:
    Securities / Capital Markets Law Litigation - Banking and Finance Appellate Practice Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Law Mining Law Litigation - Securities Litigation - Antitrust
Lawyer
  • Location:
    Providence, Rhode Island
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Energy Law Commercial Litigation
Lawyer
  • Location:
    Portland, Maine
  • Practice Areas:
    Appellate Practice Personal Injury Litigation - Defendants Commercial Litigation Bet-the-Company Litigation Mediation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Construction Arbitration
Lawyer
  • Location:
    Chicago, Illinois
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
Carter G. Phillips was awarded  "Lawyer of the Year" in

Carter G. Phillips

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