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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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"FinCEN and CFTC Announce $100 Million in Regulatory Settlements With Foreign Cryptocurrency Exchange for BSA Violations and Failures to Register," Financial Services Alert (August 25, 2021). Contacts: Michelle Ann Gitlitz, Carlton Greene, Caroline E. Brown, Anand Sithian, Nicole Sayegh Succar, Chris Murphy
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Breon Peace Brings Defense Prowess To Top Role At EDNY Law360 (August 16, 2021)
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In Pursuit Of Trump Ally, Feds Rely On 'Espionage Lite' Law Law360 (August 10, 2021)
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Managing Investigations - Best practice in Government and Internal Investigations (August 9, 2021). Authors: Derek Hahn and Dj Wolff
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"SEC Announces Plans to Review Two Trump-Era Whistleblower Rule Changes," Labor & Employment Law Alert - US (August 6, 2021). Contacts: Preston L. Pugh, Rachel Lesser
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"A focus on multinationals: Whistleblower incentives on the international stage," Government Contracts Bullet Points (August 5, 2021). Contact: Preston L. Pugh
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The Case Against Tom Barrack Could Draw Classified Material Into Court CNBC (July 29, 2021)
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Crowell & Moring LLP is an international law firm with offices in the United States, Europe, MENA, and Asia that represents clients in litigation and arbitration, regulatory and policy, and transactional and corporate matters. The firm is internationally recognized for its representation of Fortune 500 companies in high-stakes litigation and government-facing matters, as well as its ongoing commitment to pro bono service and diversity, equity, and inclusion.

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