Practice Areas
Securities & Regulatory Defense
Securities matters often arrive as a regulatory inquiry that can turn criminal. SEC investigations, parallel proceedings, and complex financial questions require a defense that manages both the regulatory and criminal exposure from the start.
Securities allegations and enforcement
These matters can involve allegations such as misrepresentation, insider trading, and offering fraud. They may begin with an SEC inquiry or subpoena and can run parallel to a criminal investigation by the Department of Justice.
- Misrepresentation and offering-fraud allegations
- Insider-trading inquiries
- SEC subpoenas and testimony
- Parallel civil and criminal proceedings
Managing parallel proceedings
A securities matter can proceed on civil and criminal tracks at once. Statements in a regulatory setting can have criminal consequences, so the two must be coordinated carefully. Decisions about testimony, document production, and timing are made with both tracks in view.
Building the defense
The defense focuses on intent, materiality, and the genuine complexity of the financial conduct at issue. Forensic and industry knowledge is often essential to explain what the records actually show.
Prior results and recognitions do not guarantee a similar outcome. Every case is different and must be evaluated on its own facts.
Answers
Frequently asked questions
General information about securities & regulatory. It is not legal advice. Every case turns on its own facts.
Is an SEC investigation criminal?
What should I do if I receive an SEC subpoena?
What does the government have to prove?
Facing a federal investigation or serious charges?
Speak directly with George G. Mgdesyan about your situation. Consultations are confidential, and the sooner you call, the more can often be done.