The ever-increasing criminalization of securities laws has caused heightened risk for many companies and individuals. The SEC and DOJ are poised for an unprecedented era of enforcement activity that can impact public companies and their directors and officers. Both the SEC and the DOJ are receiving additional funding and authority from Congress. Each has reorganized to make its operations more effective and efficient. And, each has worked in tandem through various inter-agency task forces and on specific matters, bringing "blue collar" tactics to what once may have been civil enforcement efforts. Porter Wright attorneys can help minimize risk and limit the adverse effects of securities enforcement and litigation.
Even the initiation of an SEC or DOJ investigation can be damaging to a company or its employees. Taking the right steps to avoid an investigation, or, if an inquiry is launched, to expertly handle and resolve it is critical. Our attorneys provide the proper guidance in those difficult circumstances. Our attorneys help clients avoid being caught up in an investigation or, when one is commenced, effectively guide them through it to a successful resolution. In the event of civil enforcement actions, criminal securities cases, securities-related litigation and securities class actions, our attorneys use their backgrounds and experiences to defend our clients’ interests efficiently and effectively.
Drawing on experience gained from serving in various capacities on the staff of the U.S. Securities and Exchange Commission as well as in private practice, our attorneys frequently advise clients on compliance and conduct internal investigations to help ensure securities law compliance and avoid SEC and government investigations. In addition, Porter Wright attorneys regularly represent clients in SEC investigations, administrative proceedings and enforcement actions, securities fraud class actions and DOJ securities investigations and action.