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SEC Subpoena

The Securities and Exchange Commission ("SEC") is the federal agency that regulates and enforces the federal securities laws and protects U.S. security markets and U.S. investors.The SEC investigates potential violations of the federal securities laws and has an arsenal of enforcement tools to help in its investigations—one of which is...

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Understanding SEC Investigations

What happens during an SEC investigation? Our federal securities fraud defense lawyers explain. Each year, the U.S. Securities and Exchange Commission (SEC) brings hundreds of civil and administrative enforcement actions against individuals and companies for violations of the nation’s securities laws. Within the SEC, the Division of Enforcement (the “Division”)...

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Penalties for Securities Fraud

What is at risk if you or your company is under investigation for securities fraud? Here are some examples of recent federal securities fraud cases that resulted in substantial jury verdicts and settlements with the U.S. government. Violations of securities laws and regulations in the United States can have serious...

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SEC Investigations

An SEC investigation may be triggered by a whistle blower, the appearance of insider trading, self-reporting, or simply based on a report in the media. An SEC investigation demands instant, truthful, and complete reporting of any misconduct and a sophisticated level of cooperation. If you have been informed that you...

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Nick Oberheiden is the absolute best federal litigation attorney. Nick gives you the immediate comfort of feeling 100% protected. He is polite, respectful— and extremely compelling. His legal strategy turned out to be brilliant.

– Marshall M.

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