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Litigation - Regulatory Enforcement (SEC, Telecom, Energy) - America
About this Practice AreaJulia Ambrose provides transactional and regulatory counsel to media companies navigating the rapidly-changing video programming industry. She is also an experienced litigator, well-versed in commercial and constitutional litigation in all levels of state and federal trial and appellate courts. Presentations & Publications "Recent Developments in the Law of Television and Radio Broadcasting: 2019 Year in Review," UNC School of Law Festival of Legal Learning, February 2020 "Recent Developm...
A former Assistant U.S. Attorney with a focus on public corruption and national security, Jacqueline Arango is co-chair of Akerman’s White Collar Crime & Government Investigations Practice. She leads a team including former federal prosecutors, senior enforcement lawyers at the SEC, and government lawyers representing corporations, financial institutions, boards of directors, and individuals in government investigations, regulatory enforcement matters, grand jury probes, internal in...
Ray Ausrotas is a founding partner of Arrowood LLP. He has a diverse commercial and general litigation practice, representing individuals, shareholders and corporate officers, and governmental and business entities, in a broad variety of disputes (including over non-competes and trade secrets), and administrative agency matters. He handles all manner of claims through trial and appeal, in state and federal court, including those sounding in breach of fiduciary duty, misappropriation of confid...
Dave Barry is Pierce Atwood’s managing partner. Previously, Dave was chair of the firm’s Litigation Practice Group, representing clients in a wide variety of complex litigation and counseling clients on how to avoid or minimize the risks and burdens of litigation. Dave also chaired the firm’s Government Investigations and White Collar Criminal Defense practice. He regularly manages complex business litigation in federal and state courts and has extensive experience assisting...
Fred Baumann's practice focuses on a variety of complex corporate and business litigation, including representation of individual and corporate defendants in class and derivative actions (including claims under federal and state securities laws), and in connection with government investigations, and representation of local and national corporate entities in contract, fraud, and other business litigation. He also represents attorneys and law firms in a variety of disputes, including claims for...
Matt Beck, an accomplished trial attorney, joined the firm as a member of the firm in 2013. His practice focuses on white collar criminal defense, internal corporate investigations and complex civil litigation. While Matt is always ready to take a case to verdict, he has been described as a “problem solver” who is willing and able to find creative solutions to his clients’ issues. Often that means that clients hire Matt not for litigation related matters, but to provide stra...
Saul C. Belz concentrates his practice in the areas of business litigation, broker/dealer issues, commercial disputes of all types, complex litigation, appeals and employment law. Mr. Belz has over 40 years of experience in the law, primarily assisting corporate clients with resolution of disputes, both in court and through alternative dispute mechanisms. He has participated both as counsel for the plaintiff and counsel for the defendant in class actions involving such diverse matters as secu...
Blaine Benard delivers results for clients with matters involving business disputes, healthcare, professional liability, and protection of intellectual property. Blaine provides sound counsel to companies from Fortune 500 and international companies to local businesses and entrepreneurs. Blaine advises a wide array of clients, including an international aerospace and defense contracting company, an international commercial airline, energy, mining and natural resources companies, manufacturers...
Ronald Berenstain, a partner in the firm's Litigation practice, has been lead counsel in scores of high-stakes securities and corporate governance cases for more than 30 years. His practice is focused on representing public companies and their officers and directors, as well as underwriters and accountants in shareholder class action litigation, shareholder derivative litigation, merger and acquisition litigation, Employee Retirement Income Security Act (ERISA) class action litigation, Securi...
Ned Bergin is a partner in the Litigation Practice Group. He represents utilities and publicly held companies in a broad range of disputes. Ned has a robust commercial litigation practice focused on utility regulation, complex and class action litigation, contract litigation, energy litigation, state constitutional and home rule law and antitrust matters. He represents publicly held entities in these areas, including large nationwide telecommunications providers and energy production and coge...
Robert Bieck is a partner in the Litigation Practice Group. He focuses on securities and other regulatory compliance and enforcement defense, and capital markets products and corporate governance litigation. Rob represents securities brokers, banks and other financial institutions, and corporations, as well as their directors, officers, and other employees, in matters arising under federal and state securities laws, general corporate laws, banking laws, and the Employee Retirement Income Secu...
Deborah Birnbach is a partner and co-chairs Goodwin’s Complex Litigation & Dispute Resolution and Public M&A / Corporate Governance practices and is a member of the firm’s Life Sciences Disputes group. She specializes in securities litigation, including class action defense; SEC, regulatory and internal investigations; M&A-related litigation; stockholder disputes; fiduciary duty claims; and proxy contests. Ms. Birnbach’s practice is national in scope and clients ...
Mitch Blair serves as Vice Chairman of the firm. He is a former Chair of Calfee's Litigation practice, and he leads the Securities Litigation practice. Mitch litigates and tries complex disputes, with special emphasis on securities class actions, shareholder derivative litigation and SEC enforcement defense. As Vice Chairman, Mitch helps manage and support many of the Firm’s most significant clients. He oversees major projects to ensure appropriate resources are dedicated to addressing ...
Brandon began his legal career working for judges—first clerking for a Missouri Supreme Court judge and then for a U.S. District Court judge. He then entered the courtroom as a litigator, and over the last 13 years has litigated significant, high stakes cases in courts in Kansas, Missouri, and fourteen other states. Brandon has represented corporate and individual clients in matters ranging from trucking accidents to antitrust monopolies to large breach of contract and business tort mat...
Guy is Johnson Pope's managing partner. He has over 40 years of trial experience with over 100 trials in State and Federal Courts, as well as dozens of trials conducted before arbitration panels. He primarily represents plaintiffs in complex commercial, securities, financial malpractice and consumer fraud litigation and in class actions, generally on a contingency fee basis. He also represents defendants in selected large, complex commercial disputes. He has successfully represented plaintiff...
Graeme W. Bush advises senior executives and professionals and litigates on their behalf in complex disputes. With more than 30 years’ experience as a litigator and 15 years as Zuckerman Spaeder’s chairman, Graeme brings a rich perspective in important business and professional disputes through litigation, settlement, and trial. Graeme maintains a broad litigation practice that focuses on complex commercial and regulatory matters. From advising law firms and lawyers in major civil...
I am a former federal prosecutor and a co-founder of Chaiken Ghali LLP, a national boutique white collar litigation and government investigations law firm. The firm represents companies and individuals in white collar criminal matters, grand jury investigations, government investigations and enforcement actions, internal investigations, corporate compliance program counseling, and complex civil litigation in state and federal courts. We have significant experience with matters involving secur...
Joseph C. Coates III focuses his practice on securities litigation, regulatory and class actions and serves as the head of the West Palm Beach Securities Litigation Group. Joe has represented most of the major broker/dealers in all aspects of their business, including federal and state courts, regulatory matters, and arbitrations. His representation of clients include appearances as appellate counsel in securities litigation cases in federal and state courts. Joe also focuses on shareholder d...
Frank's practice is focused on utility-related regulation and litigation, with an emphasis on matters involving the electricity and telecommunications industries. He also has significant experience in a range of environmental law issues. His work in the utilities industry has included issues involving electricity, telephone, gas and water regulation before the South Carolina Public Service Commission, where he has appeared for 30 years. In the environmental field his experience includes resol...
Jordan Eth is Chair of the firm's Securities Litigation, Enforcement, and White-Collar Criminal Defense Group. He is one of the nation's leading securities litigators, representing public companies and their officers and directors in securities class actions, SEC investigations, derivative suits, mergers and acquisitions litigation, and internal investigations. In 2008, Mr. Eth received a California Lawyer Attorney of the Year Award for co-leading the successful defense of JDS Uniphase Corp. ...
John Fagg is the co-head of the Litigation group and the co-head of the White Collar, Regulatory Defense, & Investigations practice. John represents companies and individuals under investigation by or facing charges from criminal and other government enforcement authorities throughout the United States and around the world. John regularly represents corporations and individuals in high profile criminal and government enforcement matters of all types. John has represented clients in a wide...
Patrick Fitzgerald is a seasoned trial lawyer and experienced investigator whose practice focuses on internal investigations, government enforcement matters and civil litigation. Prior to joining Skadden in 2012, Mr. Fitzgerald most recently served as the U.S. Attorney for the Northern District of Illinois. Appointed in 2001 by President George W. Bush, he was the longest-serving U.S. Attorney ever in Chicago. In this capacity, he led numerous high-profile investigations and prosecutions, inc...
Seann Frazier knows the way through the morass of state regulation in Florida. Over the course of this 25-year career he has guided clients through all manner of regulatory and litigation matters involving Florida state government. His creativity and encyclopedic knowledge of Florida administrative law positions his clients exceedingly well in their dealings with the state. A past Chair of the Florida Bar's Administrative Law Section, Seann has focused his practice and professional activities...
Peter L. Gardon is a shareholder and the chairman of the firm's Telecommunications and Energy Practice. He is also a member of the Business Law Practice. Pete draws on decades of successful practice, regulatory and legislative experience to effectively counsel telecommunications and energy companies, financial institutions, health care institutions and other business clients in a variety of complex administrative, regulatory, commercial, litigation and environmental matters. Pete's clients hi...
Asheesh Goel is a one of the leaders of Kirkland’s government & internal investigations practice and serves on the Firm’s Executive Committee. Asheesh advises clients on securities enforcement matters, including internal investigations, government investigations and enforcement actions. Asheesh has developed substantial depth on enforcement matters and transactional issues involving the U.S. Foreign Corrupt Practices Act and other related laws, financial statement and disclosu...
A seasoned litigator, George helps clients in a range of industries resolve their most critical commercial disputes. He leverages over 40 years of experience to counsel major industry clients in large, complex cases. George has a deep understanding of the commercial obstacles that clients may face in growing and operating their businesses, and helps them defend their interests when matters go to trial. His clients include financial institutions, energy and natural resource developers and dist...
John Hartmann is a partner in Kirkland & Ellis LLP’s litigation practice group, where he focuses on shareholder, professional liability and business litigation matters, as well as regulatory enforcement proceedings and corporate internal investigations. John has represented leading corporations, professional services firms, private investment firms, as well as their directors, officers and partners, in numerous securities class actions, shareholder derivative suits, disputes over co...
Kenneth Held is an experienced trial attorney who focuses his practice on business litigation in state and federal courts, arbitration and regulatory enforcement matters, with a particular emphasis on securities litigation, energy litigation and class action defense. His clients range from individuals to publicly traded and privately held companies, as well as private equity firms and hedge funds. Mr. Held has significant experience in securities litigation and defending corporate and individ...
Brian Hennigan is Managing Partner at Hueston Hennigan LLP. For the past 20 years, Mr. Hennigan has specialized in complex litigation with an emphasis on white collar criminal defense. Over that time period, he has successfully represented individuals and corporations facing a wide array of challenges presented by federal prosecutors and investigating agencies. More recent representations have included the successful representations of individuals facing allegations under the Foreign Corrupt ...
Randy Howry is a partner at Howry, Breen & Herman LLP, and is board certified in Personal Injury Trial Law and Civil Trial Law. He has 25 years of experience representing individuals and businesses as a litigator, and has established a solid reputation as one of the top trial attorneys in the state. He has been recognized by his peers as a Super Lawyer by Texas Monthly Magazine each year since 2004, and he was selected for inclusion in The Best Lawyers in America (copyright by Woodward/Wh...
Noah H. Huffstetler, III is the managing partner of Nelson Mullins Riley & Scarborough’s Raleigh office. He practices in the areas of healthcare law, administrative law, and business and appellate litigation. Mr. Huffstetler is a lecturer in healthcare law, having participated in programs sponsored by the North Carolina Bar Association, the North Carolina Hospital Association, the North Carolina Medical Society, and the Duke University Graduate Program in Healthcare Administration.
Robert H. Iseman, a native of Albany, has represented both institutional and individual healthcare providers and health insurers for more than 40 years. As a partner in the Health Services Practice Group, Bob provides a full range of legal services for multi-provider healthcare systems, accountable care organizations (ACOs), hospitals, physician practice groups, health maintenance organizations and other health care providers and third-party payors. Areas of representation include corporate g...
John W. Joyce is a member of the law firm of Barrasso Usdin Kupperman Freeman & Sarver, L.L.C., a New Orleans litigation firm ranked among the top litigation firms in Louisiana. He is an experienced litigator and trial attorney whose practice includes most types of sophisticated civil litigation. He represents insurance companies in coverage and claim-handling cases, broker-dealers and financial advisors in securities and employment disputes, and both businesses and individuals in contrac...
Brad D. Kaufman is the Vice President and Treasurer of Greenberg Traurig. He is also Co-Chair of the Securities Litigation Group and leads the firm’s Associate Development Program. He focuses his practice on securities litigation and regulatory actions and has represented virtually every major broker/dealer in virtually all aspects of their business, including traditional litigation in state and federal court as well as arbitrations. Brad has defended both securities class actions and s...
With an established record of creative and effective advocacy, Cindy Laquidara navigates complex litigation matters, from administrative hearings, to federal and state trials and appeals. Her practice serves municipal authorities, private corporations with long-term lease arrangements, companies submitting competitive procurement bids and proposals, general commercial litigation, and energy related matters in dispute resolution pertaining to bid disputes, land use, transportation, contracts, ...
Chip Loewenson is a member of the firm's Securities Litigation, Enforcement, and White-Collar Defense Group. His practice focuses primarily on white-collar defense, including regulatory matters. His cases have included alleged insider trading, market manipulation, and other securities fraud issues, foreign corrupt practices, government contract fraud, FDA reporting, trade secrets, customs violations, tax evasion, money laundering, price-fixing, health care fraud, false claims against the gove...
Curt Long has more than forty years of experience in energy and telecommunications, representing clients in state and federal courts, and before regulatory commissions. His practice is concentrated on litigation and regulation of the natural gas, electric and telecommunications industries. Mr. Long's experience also includes retail and wholesale contracts for natural gas, electric, telecommunications, water and process water discharge services. Mr. Long’s clients include utilities, pipe...
Michael K. Loucks, a nationally recognized health care fraud prosecutor, joined the firm as a litigation partner in the Boston office in July 2010. With 25 years in public service, Mr. Loucks most recently served as acting U.S. attorney and first assistant U.S. attorney for the District of Massachusetts, where he led major criminal and civil investigations, as well as many of the most high-profile health care fraud prosecutions of the past two decades. Since joining Skadden, Mr. Loucks’...
Colleen P. Mahoney, a partner in Skadden’s Washington, D.C. office, heads the firm’s Securities Enforcement and Compliance practice, and regularly represents financial services firms, corporations, their officers, board committees, directors and employees in Securities and Exchange Commission (SEC) and other law enforcement investigations. Ms. Mahoney assists management and boards of directors performing internal investigations, often advising clients on preventive and remedial me...
Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Definition
Additionally, certain organizations and individuals may be subject to disciplinary investigations and action by self-regulatory organizations overseen by an administrative agency, such as the Financial Industry Regulatory Authority or the Public Company Accounting Oversight Board. Many regulatory enforcement actions are civil proceedings; however, federal and state criminal agencies, including the Department of Justice and state Attorneys General, may share enforcement authority. Particularly egregious transgressions thus may be subject to criminal investigation and enforcement as well.
Regulatory enforcement matters are initiated in a variety of ways, including by a whistleblower tip, an agency’s own monitoring of the industry, or self-reporting by a firm or individual. Enforcement matters typically begin as a fact-finding investigation, which are often nonpublic. Agencies may have the authority to seek documents from companies, as well as to subpoena individuals to provide sworn testimony on the record. Information may be sought from third parties, as well as from firms and their current or former employees. Additionally, internal investigations conducted by independent outside counsel may precede or run in parallel with a regulatory investigation. Once an investigation is completed, enforcement personnel typically make a recommendation about the appropriate enforcement action to take, or whether to drop the matter. If approved, an enforcement action frequently, but not always, is filed as a public proceeding.
Regulatory enforcement defense attorneys counsel organizations and individuals through investigations and, if needed, litigation. Defense counsel acts as the primary contact with agency personnel, often gleaning valuable insights into an investigation’s direction and scope in the process, and presenting opportunities to advocate against further action involving a client. As a result, counsel frequently is retained early in an investigation. Likewise, regulatory enforcement attorneys regularly conduct, or represent individuals in, internal investigations. Regulatory enforcement counsel also defends clients against claims alleged in filed enforcement actions, which may proceed as an administrative hearing or as a lawsuit in the federal or state courts.
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