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Crowell & Moring's SEC enforcement practice covers the full range of securities fraud investigations, including federal and state grand juries, and inquiries initiated by the U.S. Securities and Exchange Commission (SEC), FINRA, and other regulatory and investigative bodies. Our experienced team consists of the former head of the SEC Fraud Section, and former prosecutors and enforcement attorneys from the Department of Justice, U.S. Attorney's Offices, and the SEC. This combination of talent and government experience means that we are ready to counsel and, if necessary, litigate before any agency or court, and that we will do so in a way that balances regulatory compliance with each client’s continuing business needs and concerns. 

Representative Engagements

  • Represented the registered investment adviser arm of a hedge fund with over $9 billion in assets under management in response to an SEC examination
  • Represented a publicly traded health care company in connection with a FINRA insider trading inquiry
  • Represented the former controller of a large sub-prime lender in a civil securities fraud case filed by the SEC following two years of parallel investigations by the U.S. Attorney and the SEC
  • Represented a partner in a Big 4 accounting firm in response to an SEC investigation on synthetic leasing accounting issues (client not charged)
  • Represented brokerage professionals on various insider trading allegations
  • Represented multiple issuers and privately held companies and executives in the midst of parallel SEC and DOJ investigations concerning alleged FCPA violations

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Ethics Groups Call On Coronavirus 'Vaccine Czar' To Disclose Potential Conflicts ABC News (May 29, 2020)
Media Mentions
"Prosecutors in New York and Texas Charge Individuals for Defrauding COVID-19 Relief Programs," White Collar Alert (May 22, 2020). Contacts: Amy Laderberg O'Sullivan, Daniel L. Zelenko, Laura Schwartz, Paul M. Rosen, Rebecca Monck Ricigliano
Client Alert/Newsletter
"FinCEN Director Identifies Virtual Currency Compliance Risks and COVID-19 Related Issues at Consensus 2020 Conference," White Collar Alert (May 20, 2020). Contacts: Carlton Greene, Erik Woodhouse, Nicole Sayegh Succar, Michelle Ann Gitlitz, Caroline E. Brown, Jorge Pesok
Client Alert/Newsletter
"Emerging Issues in Sanctions, AML and Everything in Between in the Time of COVID-19: 2020 AML & Sanctions Risk Considerations for Digital Assets Companies," Crowell & Moring Webinar (May 19, 2020). Presenters: Caroline E. Brown, Michelle Gitlitz, Carlton Greene, Michelle J. Linderman, David (Dj) Wolff, Nicole Sayegh Succar, and Erik Woodhouse.
Speech/Presentation
Securing The Remote Bank Workforce ABA Banking Journal (May 18, 2020)
Media Mentions
'Unimpeachable Character:' John Gleeson, Former Judge And Prosecutor, Returns To Court To Take On Bill Barr National Law Journal (May 15, 2020)
Media Mentions
Outsider Tapped In Flynn Case Regarded As 'Straight Arrow' The New York Times (May 14, 2020)
Media Mentions
"Protecting Your Business from Zoom-Bombs and Other Videoconferencing Privacy Concerns, Including Preservation and Potential Subpoenas," myLawCLE Webinar (May 12, 2020). Presenter: Nimrod Haim Aviad.
Speech/Presentation
Flynn's Lawyers Argue 'No Further Delay' As Judge Opens Door To Barr Criticism National Law Journal (May 12, 2020)
Media Mentions
The Long List Of People Who Thought Flynn's Lies Were Material (May 10, 2020). Author: Chuck Rosenberg.
Publications

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Crowell & Moring LLP is an international law firm with more than 500 lawyers representing clients in litigation and arbitration, regulatory, and transactional matters. The firm is internationally recognized for its representation of Fortune 500 companies in high-stakes litigation, as well as its ongoing commitment to pro bono service and diversity. The firm has offices in Washington, DC, New York, Los Angeles, San Francisco, Orange County, London, and Brussels.

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