Individuals and companies under scrutiny by the U.S. Securities and Exchange Commission face high stakes litigation in which their businesses, careers and assets are at risk and in which they may also face the prospect of criminal prosecution.  Clayman & Rosenberg LLP’s attorneys have represented individuals in litigation with the SEC for more than thirty years.  Unlike many firms that handle SEC matters, we have experience in both the civil enforcement and criminal aspects of the securities laws, and understand how to balance and prioritize these very different and often inter-connected risks.  We have obtained successful outcomes for our clients in all phases of SEC litigation, including having formal investigations closed without charges being brought, negotiating favorable settlements that preserved our clients’ assets and businesses as well as full exoneration after trial.

Representative matters:

  • Obtained the acquittal of an executive at a major media company charged with entering into fictitious contracts to falsely inflate the revenues of two public companies.  A separate jury found in the executive’s favor on parallel civil charges.
  • Represented numerous corporate executives and Wall Street professionals in SEC investigations in the banking and securities industries.

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