SEC Enforcement Defense

Securities Exchange Commission (SEC) investigations and civil cases commonly target alleged violations of federal securities laws. The impact of these cases can significantly impact individuals and companies alike. The reasons for SEC inquiries can be almost endless when pertaining to insider trading, accounting issues, or other financial reporting. With potential hefty fines, damage to reputation, and prison sentences on the line, the assistance of a skilled SEC enforcement defense lawyer is a necessity.

Scott Tenley possesses a nuanced understanding of federal securities laws, so he can offer you the strategic defenses to handle SEC investigations. He is committed to protecting his clients’ rights and interests from the initial stages of an SEC inquiry through potential litigation to resolve a civil enforcement proceeding.

Common SEC Defense Matters

The SEC is responsible for enforcing a broad array of statutes and laws, including but not limited to the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act. Common issues that the SEC investigates under the authority of these statutes and laws include:

  • Fraud in connection with the sale of securities
  • Insider Trading
  • Accounting Irregularities
  • Failure to Disclose Information
  • Ponzi Schemes

Scott is an experienced federal litigator and can be essential in combatting the issues raised by the SEC. He brings a wealth of knowledge and experience in federal investigations and court processes, so he is well-equipped to provide clients with effective defense strategies. He understands the critical nature of these matters and works tirelessly to dissect the claims and present compelling arguments for his clients.

What To Expect In An SEC Investigation

SEC investigations are generally very thorough and involve extensive document reviews, witness interviews, and analysis of an individual’s or company’s financials. Individuals and entities under investigation must understand their rights and the legal protections available during a lengthy and invasive investigation by the SEC.

Scott can provide an initial assessment of the SEC’s claims, followed by a strategic plan for challenging any claim to protect your interests. He can help assist in compliance with requests for information while safeguarding against self-incrimination and unnecessary exposure. Scott strives to work toward a resolution that minimizes the impact on your integrity, operations, and financial standing.

Call Scott Today

Facing an SEC action can lead to severe consequences, including financial penalties, restrictions on your business operations, and prison sentences. The implications of SEC enforcement actions accentuate the importance of having an experienced defense lawyer on your team to navigate these challenging times. Scott offers comprehensive legal support to individuals and businesses under investigation by the SEC or facing charges. He takes a proactive approach to SEC enforcement actions that are aimed at addressing issues before they have a chance to escalate. If you are the subject of an SEC investigation or enforcement action, call now to discuss your case.