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

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

David E. Barry

Pierce Atwood LLP
  • Location:
    Portland, Maine
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Criminal Defense: White-Collar Commercial Litigation
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Real Estate Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Mergers and Acquisitions Litigation - Securities Commercial Litigation Litigation - Insurance
Lawyer
  • Location:
    Miami, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Intellectual Property Commercial Litigation Criminal Defense: White-Collar 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:
    Criminal Defense: White-Collar Qui Tam Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Criminal Defense: General Practice Ethics and Professional Responsibility Law
Lawyer
  • Location:
    Memphis, Tennessee
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Real Estate
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Commercial Litigation Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - ERISA Bet-the-Company Litigation Litigation - Securities
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Litigation - Banking and Finance Litigation - Securities Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Cincinnati, Ohio
  • Practice Areas:
    Environmental Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental 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:
    Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Securities / Capital Markets Law
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:
    Chicago, Illinois
  • Practice Areas:
    Commercial Litigation Litigation - Antitrust Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Litigation - Intellectual Property Litigation - First Amendment Litigation - Environmental Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust
Lawyer
  • Location:
    New Orleans, Louisiana
  • Practice Areas:
    Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Oil and Gas Law Commercial Litigation Bet-the-Company Litigation Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Commercial Litigation Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Columbia, South Carolina
  • Practice Areas:
    Administrative / Regulatory Law Energy Regulatory Law Utilities Law Litigation - Environmental Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Omaha, Nebraska
  • Practice Areas:
    Commercial Litigation Litigation - Antitrust Litigation - Environmental Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Litigation - Intellectual Property Criminal Defense: White-Collar Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Lansing, Michigan
  • Practice Areas:
    Commercial Litigation Litigation - ERISA Insurance Law Litigation - Real Estate Health Care Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) 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) Litigation - Securities Criminal Defense: White-Collar Commercial Litigation
Lawyer
  • Location:
    Atlanta, Georgia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Litigation - Banking and Finance
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Government Relations Practice Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Administrative / Regulatory Law Litigation - Antitrust Criminal Defense: White-Collar
Lawyer
  • Location:
    Salt Lake City, Utah
  • Practice Areas:
    Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Bet-the-Company Litigation Litigation - Antitrust Commercial Litigation
Lawyer
  • Location:
    Pittsburgh, Pennsylvania
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Commercial Litigation
Lawyer
  • Location:
    Austin, Texas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Trusts and Estates Litigation - Construction Personal Injury Litigation - Defendants Litigation - Real Estate Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Plaintiffs
Lawyer
  • Location:
    Raleigh, North Carolina
  • Practice Areas:
    Commercial Litigation Administrative / Regulatory Law Litigation - Antitrust Health Care Law Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Criminal Defense: White-Collar Criminal Defense: General Practice Administrative / Regulatory Law Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Commercial Litigation Litigation - Securities Litigation - Banking and Finance
Lawyer
  • Location:
    West Palm Beach, Florida
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Securities Regulation Litigation - Securities Securities / Capital Markets Law
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Real Estate
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Governance Law Commercial Litigation Bet-the-Company Litigation Litigation - Securities
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Government Contracts Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Government Relations Practice
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Corporate Compliance Law Bet-the-Company Litigation Litigation - Securities Corporate Governance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Securities Regulation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Securities / Capital Markets Law Corporate Governance Law Corporate Compliance Law
Lawyer
  • Location:
    Troy, Michigan
  • Practice Areas:
    Environmental Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Los Angeles, California
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Litigation - Environmental Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Bet-the-Company Litigation Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Dallas, Texas
  • Practice Areas:
    Litigation - Securities Commercial Litigation Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Baton Rouge, Louisiana
  • Practice Areas:
    Government Relations Practice Litigation - Securities Mergers and Acquisitions Law Corporate Governance Law Reinsurance Law Closely Held Companies and Family Businesses Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation and Controversy - Tax Corporate Law Corporate Compliance Law Business Organizations (including LLCs and Partnerships)
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:
    Antitrust Law Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Litigation - Securities
Lawyer
  • Location:
    Rochester, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Commercial Litigation
Lawyer
  • Location:
    Charlotte, North Carolina
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Securities Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Legal Malpractice Law - Defendants Commercial Litigation Ethics and Professional Responsibility Law Legal Malpractice Law - Plaintiffs
Lawyer
  • Location:
    Jacksonville, Florida
  • Practice Areas:
    Litigation - Construction Personal Injury Litigation - Plaintiffs Product Liability Litigation - Defendants Litigation - Banking and Finance Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Commercial Litigation Litigation - Insurance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Criminal Defense: White-Collar Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Biotechnology and Life Sciences Practice Commercial Litigation
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Commercial Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Newark, New Jersey
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation
Lawyer
  • Location:
    Overland Park, Kansas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Securities Litigation - Banking and Finance Commercial Litigation Mining Law Litigation - Antitrust Appellate Practice Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Law Securities / Capital Markets Law
Lawyer
  • Location:
    Portland, Maine
  • Practice Areas:
    Commercial Litigation Arbitration Litigation - Construction Personal Injury Litigation - Defendants Appellate Practice Bet-the-Company Litigation Mediation 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:
    Bet-the-Company Litigation Litigation - First Amendment Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Appellate Practice Litigation - Patent Media Law First Amendment Law Commercial Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Bet-the-Company Litigation Corporate Compliance Law Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Corporate Governance Law
Lawyer
  • Location:
    Charleston, West Virginia
  • Practice Areas:
    Energy Law Litigation - Land Use and Zoning Environmental Law Commercial Litigation Mining Law Litigation - Environmental Litigation - Municipal Natural Resources Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Oil and Gas Law
Lawyer
  • Location:
    West Hartford, Connecticut
  • Practice Areas:
    Litigation - Antitrust Commercial Litigation Criminal Defense: General Practice Bet-the-Company Litigation Litigation - Intellectual Property Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Commercial Litigation Litigation - Antitrust Litigation - Bankruptcy Workers' Compensation Law - Employers Litigation - Insurance Personal Injury Litigation - Defendants Insurance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Legal Malpractice Law - Defendants Litigation - Banking and Finance
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Litigation - Antitrust
Lawyer
  • Location:
    Tallahassee, Florida
  • Practice Areas:
    Commercial Litigation Ethics and Professional Responsibility Law Appellate Practice Bet-the-Company 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:
    Litigation - Securities Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Tucson, Arizona
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Personal Injury Litigation - Plaintiffs Commercial Litigation Litigation - Real Estate Mass Tort Litigation / Class Actions - Plaintiffs Litigation - Banking and Finance Personal Injury Litigation - Defendants
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Qui Tam Law Criminal Defense: White-Collar Commercial Litigation
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar
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 Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Banking and Finance Law
Lawyer
  • Location:
    Columbus, Ohio
  • Practice Areas:
    Litigation - Securities Commercial Litigation Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Energy Law
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Corporate Compliance Law Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial 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:
    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:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Litigation - First Amendment Bet-the-Company Litigation Litigation - Intellectual Property Appellate Practice Native American Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Commercial Litigation Criminal Defense: White-Collar First Amendment Law
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 Litigation - Labor and Employment Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Energy Law Commercial Litigation Health Care Law Bet-the-Company Litigation Litigation - Antitrust Litigation - Banking and Finance
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Criminal Defense: White-Collar Litigation - Environmental Litigation - Securities
Lawyer
  • Location:
    Louisville, Kentucky
  • Practice Areas:
    Commercial Litigation Litigation - Municipal Criminal Defense: White-Collar Personal Injury Litigation - Defendants Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    New York, New York
  • Practice Areas:
    Litigation - Securities Commercial Litigation Litigation - Antitrust Litigation - Bankruptcy Bankruptcy and Creditor Debtor Rights / Insolvency and Reorganization Law 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 - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Litigation - Securities Commercial Litigation
Lawyer
  • Location:
    Kansas City, Missouri
  • Practice Areas:
    Commercial Litigation Energy Law Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy)

  • 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.