SEC, State, and FINRA Regulatory Examination and Investigation Defense
Represented broker-dealers, investment advisers, and their adviser and registered representatives in an array of SEC, FINRA, and state-agency examinations, investigations, and enforcement actions. Examples include:
- Handling a multi-year, bet-the-company regulatory examination and investigation of an SEC-registered investment adviser with operations and offices around the country. Miller Canfield helped our client through the process, worked with and effectively communicated with the SEC examiners, investigators, and accountants, and through this work helped the client improve its compliance operations and avoid an SEC enforcement action.
- Represented audit committee of foreign private issuer involved in major SEC accounting fraud investigation in several countries resulting in a reported declination.
- Represented municipal issuer in municipal securities fraud investigation by the SEC.
- Represented former executive of Fortune 50 chemical company in SEC insider trading investigation involving merger with another international chemical company.
- Successfully represented major banking client in resolving SEC enforcement action over disclosure and documentation of loan loss reserves and a restatement of earnings.