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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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Prosecutors Just Got Millions Of Pages Of Trump Documents. His Taxes Are Just The Beginning NBC News (February 25, 2021)
Media Mentions
Forget Giuliani And The Impeachment Crew. This Is How A Real Trump Defense Would Look. (February 24, 2021). Author: Chuck Rosenberg.
Publications
SEC Decision Seen As First Step Toward Brokers’ Mainstream Cryptocurrency Use Roll Call (February 23, 2021)
Media Mentions
Crowell Rides Contingency Fee Wins To 47% Spike in Profits, Double-Digit Revenue Growth The National Law Journal (February 18, 2021)
Media Mentions
Trump Legal Troubles May Not Be Over Despite Senate Acquittal The Hill (February 18, 2021)
Media Mentions
Crowell Snags Former Intelligence IG Fired By Trump Law360 (February 17, 2021)
Media Mentions
Crowell & Moring Hires Lawyer Trump Fired in Ukraine Probe Bloomberg Law (February 17, 2021)
Media Mentions
Crowell Hires Michael Atkinson, U.S. Intel Watchdog Fired By Trump Reuters Legal (February 17, 2021)
Media Mentions
Intelligence IG Who Handled Trump Whistleblower Complaint Lands At Crowell The American Lawyer (February 17, 2021)
Media Mentions
Former Intelligence Community Inspector General Michael K. Atkinson Joins Crowell & Moring (Feb.17.2021)
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Crowell & Moring LLP is an international law firm with approximately 550 lawyers representing clients in litigation and arbitration, regulatory and policy, 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, equity and inclusion. The firm has offices in Brussels, Doha, London, Los Angeles, New York, Orange County, San Francisco, Shanghai, and Washington, D.C.

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