Find Lawyers in Raleigh, North Carolina for Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Julia 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...
John N. (Nick) Fountain is one of the most experienced attorneys in North Carolina handling professional licensure issues and occupational licensing boards. He has appeared before dozens of the numerous boards and commissions in Raleigh, including the Real Estate Commission, the Appraisal Board, the Banking Commission, the CPA Examiners, N.C. Medical Board, the Dental Board, the Psychology Board, Licensed Professional Counselors and others. He is General Counsel to the State Board of Examiner...
As an FCC and communications lawyer, Stephen advises broadcasters and other FCC regulated businesses on a host of compliance matters, and he routinely provides all the same services as his colleagues who practice at D.C.-based communications firms. While Stephen maintains productive relationships with members of the FCC Staff, he also maintains a “small market” attitude such that no client is too small or any less important than any other client. In that regard, Stephen has advise...
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.
Steve Levitas represents a wide range of corporate and governmental clients on environmental regulatory matters, with an emphasis on wastewater permitting and compliance, wetland and stream permitting and mitigation, water quality policy, remediation and redevelopment of contaminated property, and alternative energy. From 1993 through 1996, Mr. Levitas served as Deputy Secretary of the North Carolina Department of Environment, Health and Natural Resources. Prior to his tenure as Deputy Secret...
Elizabeth Spainhour represents media, communications, and technology companies in a variety of regulatory and business matters. She also provides counsel to businesses on key issues involving privacy, digital marketing, and the rapidly changing digital environment. Elizabeth is a Board Certified Specialist in Privacy and Information Security Law from the North Carolina Board of Legal Specialization. Media With a focus on companies in the media and technology industries, Elizabeth provides com...
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.
Recognition by Best Lawyers is based entirely on peer review. Our methodology is designed to capture, as accurately as possible, the consensus opinion of leading lawyers about the professional abilities of their colleagues within the same geographical area and legal practice area.
Best Lawyers employs a sophisticated, conscientious, rational, and transparent survey process designed to elicit meaningful and substantive evaluations of the quality of legal services. Our belief has always been that the quality of a peer review survey is directly related to the quality of the voters.
Georgia Laws Taking Effect in 2022
On Neutral Ground
Largest Pain and Suffering Award Affirmed in New York History
New England States With Incoming Legislation
Activism In Action