PRACTICE AREAS
Accountants' Liability
Compliance
Defense of Lawyers and Law Firms
FCPA
Internal Investigations
Securities Enforcement
Securities and Capital Markets Litigation
Trials and Appeals
White Collar Defense

 

MORVILLO LAWPRACTICE AREAS: Securities Enforcement

Our partners have represented various entities and individuals in well over 200 SEC and FINRA investigations, including some of the highest profile investigations the SEC has pursued. Our greatest successes are not publicly known due to our strong record in convincing the SEC, through the Wells process and in other ways, not to bring enforcement actions against many of our clients. Our cases involve many different issues including insider trading, market manipulation, accounting fraud, false public statements, CDOs and other asset-backed securities, unregistered and registered public offerings, market making and trading activities, broker dealer sales practices, auction rate securities, proxy violations and other complex subject matters.

Our partners have excellent reputations for integrity and forceful advocacy with the SEC Staff. We enjoy an impressive success rate in convincing the SEC staff not to recommend charges against our clients, in part, we believe, because our partners are also respected for their trial skills. Though we believe that this helps us achieve favorable resolutions, including settlements, we are willing to litigate with the SEC when the facts or the law warrant it. In fact, we have defeated the SEC in all five cases we litigated to judgment in federal court, including an insider trading case on behalf of a director of Liberty Media, a fraud action against a former executive of a mutual fund asset manager and a fraud action brought against a securities lawyer alleging violations of the anti-fraud laws in connection with a public offering. We also obtained a favorable result in the SEC ‘s fraud administrative case against two clients who served as specialists on the New York Stock Exchange.

Many of our cases have had a high profile in the media, requiring us to manage media relations while litigating in a public forum. For example, our partners have litigated cases for Martha Stewart and Maurice “Hank” Greenberg. We also have been representing a Level Global executive in a criminal trading case and appeal, executives of financial institutions in SEC broker/dealer and related matters, investment bankers and CDO managers in RMBS cases, corporate executives in FCPA cases, accounting firms in accounting fraud investigations, and company executives in other SEC investigations.


 

NYC Tel: 212-796-6330 | NYC Fax: 212-240-8267 | Washington DC Tel: 202-470-0330 | Washington DC Fax: 202-775-5937

Terms of Use | Attorney Advertising © 2017 Morvillo LLP