Securities Investigations
Understanding SEC Investigations - Federal Lawyer - Oberheiden P.C.
The SEC uses many sources and methods to investigate alleged securities law violations. Typically, the SEC will issue administrative subpoenas ...
The SEC's Division of Enforcement conducts investigations into potential violations of the federal securities laws.
Securities Investigations: Internal, Civil and Criminal (Second Edition)
[Securities Investigations] collects the experience of many of the most experienced lawyers in securities law enforcement. This book belongs on the desk of ...
How Investigations Work - SEC.gov
Following an investigation, SEC staff present their findings to the Commission for its review. The Commission can authorize the staff to file a ...
Securities Investigations - Analysis Group
We have provided consulting and expert testimony services to firms involved in enforcement proceedings or being investigated by government agencies, ...
Division of Enforcement - SEC.gov
Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets.
How SEC Investigations Work | SEC Whistleblower Advocate
Formal investigative proceedings are nonpublic unless otherwise ordered by the Commission. Indeed, individuals and organizations cannot reach out to the SEC to ...
Securities Investigations + Enforcement - Troutman Pepper
Troutman Pepper is a national law firm with 1100+ attorneys strategically located in more than 20 U.S. cities. The firm's litigation, transactional, ...
Securities Fraud and Financial Investigations - Crowell & Moring LLP
Crowell & Moring's Securities and Financial Fraud Investigations team has extensive experience counseling clients facing inquiries, parallel investigations, ...
Investigations - Secret Service
The Secret Service was formed in 1865 to investigate counterfeit currency during the civil war, as it presented a national security issue. Over time, the Secret ...
Homeland Security Investigations (HSI)
We shield our nation from global threats to ensure Americans are safe and secure. Learn More About HSI Report a Crime: 1-877-4-HSI-TIP
Securities & Commodities Investigations - Sullivan & Cromwell LLP
Sullivan & Cromwell's Securities & Commodities Investigations practice has a deep understanding of complex trading and regularly represents clients in ...
Securities Enforcement - WilmerHale
WilmerHale's Securities Enforcement Practice represents and defends exchanges, alternative trading systems (ATSs) and securities clearing organizations in US ...
Securities Enforcement - Gibson Dunn
The firm is at the forefront of the ever-changing SEC enforcement and regulatory regime, representing clients in all aspects of securities law enforcement.
Government Investigations and Securities Enforcement
Clients hire the attorneys in Dickinson Wright's Government Investigations and Securities Enforcement practice because of our vigorous and creative advocacy ...
SEC investigation and enforcement - Porter Wright Morris & Arthur LLP
Our attorneys work with public companies, corporate insiders and investors throughout an SEC investigation or inquiry.
SEC & Regulatory Enforcement - Latham & Watkins LLP
Overview. Latham draws on deep experience with the US Securities and Exchange Commission (SEC) and other financial regulators to guide clients through inquiries ...
Securities Enforcement | Steptoe
We assist clients in developing preventive and remedial measures before and after securities law issues arise. We also help clients establish compliance ...
Homeland Security Investigations Who We Are
Homeland Security Investigations (HSI) is a premier federal law enforcement agency within the Department of Homeland Security (DHS).
Combating Money Laundering and Fraud in the Securities Industry
As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases ...