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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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This Is A Revolting Assault On The Fragile Rule Of Law (February 12, 2020). Author: Chuck Roseberg.
Publications
The Rule Of Law Is Being 'Suffocated' By Trump And His 'Personal Henchman' Barr, Says Harvard Constitutional Scholar Newsweek (February 12, 2020)
In the News
Rosenberg: Eventual Roger Stone Verdict 'Infected' After DOJ Removes Appearance Of Fairness (video clip) MSNBC (February 11, 2020)
In the News
Crowell & Moring International Expands Business Money (February 11, 2020)
In the News
Barr Takes Control Of Legal Matters Of Interest To Trump, Including Stone Sentencing NBC News (February 11, 2020)
In the News
"Coronavirus: DHS Announces New Travel Restrictions on Certain Inbound U.S. Flights and Travelers from China, Including Medical Screening and Quarantine," International Trade Bulletin (February 3, 2020). Contacts: Paul M. Rosen, Robert Holleyman, Alex Rosen, Nicole Janigian Simonian, Evan Y. Chuck
Client Alert/Newsletter
Foreign Bribes Act Repeal Would Be Disaster, Attorney Says Daily Journal (February 3, 2020)
In the News
How Coronavirus Could Disrupt The Auditing Of Companies Wall Street Journal (February 3, 2020)
In the News
Welcome Committee: Law Firms Are Scrapping Old Methods Of Lateral Integration In Favor Of Staffed-Up Programs Designed To Deliver American Lawyer (February 1, 2020)
In the News
'The Senate Is Drowning And I'm Holding Its Head Under Water' (video clip) MSNBC (February 1, 2020)
In the News

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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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