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

David E. Barry

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

James J. Belanger

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

Guy M. Burns

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

Carter G. Phillips

Sidley Austin LLP
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Appellate Practice Litigation - Patent Bet-the-Company Litigation Litigation - First Amendment Litigation - Regulatory Enforcement (SEC, Telecom, Energy) First Amendment Law Commercial Litigation Media Law
Lawyer
  • Location:
    Nashville, Tennessee
  • Practice Areas:
    Commercial Litigation Litigation - Securities Litigation - Banking and Finance Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Charleston, West Virginia
  • Practice Areas:
    Litigation - Municipal Oil and Gas Law Energy Law Litigation - Land Use and Zoning Mining Law Environmental Law Natural Resources Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Environmental Commercial Litigation
Lawyer
  • Location:
    West Hartford, Connecticut
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Intellectual Property Criminal Defense: General Practice Bet-the-Company Litigation Antitrust Law Commercial Litigation Litigation - Antitrust Criminal Defense: White-Collar
Lawyer
  • Location:
    Jackson, Mississippi
  • Practice Areas:
    Commercial Litigation Litigation - Bankruptcy Workers' Compensation Law - Employers Legal Malpractice Law - Defendants Personal Injury Litigation - Defendants Litigation - Banking and Finance Litigation - Antitrust Litigation - Insurance Insurance Law Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Houston, Texas
  • Practice Areas:
    Commercial Litigation Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Antitrust
Lawyer
  • Location:
    Tallahassee, Florida
  • Practice Areas:
    Commercial Litigation Appellate Practice Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Ethics and Professional Responsibility Law
Lawyer
  • Location:
    Boston, Massachusetts
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Lawyer
  • Location:
    Phoenix, Arizona
  • Practice Areas:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Commercial Litigation Bet-the-Company Litigation
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 - Labor and Employment Personal Injury Litigation - Defendants Litigation - Banking and Finance
Lawyer
  • Location:
    Portland, Oregon
  • Practice Areas:
    Litigation - Mergers and Acquisitions Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Banking and Finance Commercial Litigation Litigation - Securities
Lawyer
  • Location:
    Washington, District of Columbia
  • Practice Areas:
    Criminal Defense: White-Collar Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
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:
    Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Bet-the-Company Litigation Appellate Practice
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:
    Commercial Litigation Appellate Practice Litigation - Securities Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Energy Law Bet-the-Company Litigation
Lawyer
  • Location:
    Seattle, Washington
  • Practice Areas:
    Criminal Defense: White-Collar Corporate Compliance Law 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:
    Des Moines, Iowa
  • Practice Areas:
    Energy Law Water Law Communications Law Administrative / Regulatory Law 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:
    Bet-the-Company Litigation Litigation - Regulatory Enforcement (SEC, Telecom, Energy) Litigation - Securities Criminal Defense: White-Collar
Lawyer
Franklin B. Velie was awarded  "Lawyer of the Year" in

Franklin B. Velie

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

Mark W. Williams

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

  • 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.