Practice Areas

Leading Defense Attorneys

United States SEC, United States DOJ, and State AG Office Investigations

New York SEC Defense Attorney Services

When facing investigations by authoritative bodies such as the Securities and Exchange Commission (SEC), Department of Justice (DOJ), or Attorney General’s (AG) office in connection to securities fraud, misrepresentation, or related matters, it’s crucial to partner with specialized legal representation that tailors to your unique circumstances to optimize legal outcomes.

Understanding SEC, DOJ, and AG:

While each of these agencies overlap, they differ in responsibilities in the breakdown below:

United States Securities and Exchange Commission (SEC):

The United States Securities and Exchange Commission, commonly known as the SEC, is a federal agency responsible for regulating and overseeing the securities industry in the United States. Its primary mission is to protect investors, maintain fair and efficient markets, and facilitate capital formation. The SEC achieves these goals by enforcing securities laws, requiring companies to disclose relevant financial information, and regulating various market participants, including securities exchanges, brokers, and investment advisors. Additionally, the SEC plays a crucial role in preventing fraudulent activities and ensuring that investors receive accurate and timely information about investments.

United States Department of Justice (DOJ) 

The U.S. DOJ is a crucial federal agency responsible for upholding the rule of law and ensuring the fair and impartial administration of justice within the United States. Its primary responsibilities encompass a wide range of legal matters, including enforcing federal laws, prosecuting individuals and organizations that violate these laws, and defending the interests of the United States in legal cases. The DOJ plays a pivotal role in safeguarding the rights and liberties of American citizens, addressing issues related to civil rights, immigration, national security, and public safety. It also houses various divisions, such as the Federal Bureau of Investigation (FBI) and the Drug Enforcement Administration (DEA), which focus on specific areas of law enforcement. Overall, the DOJ’s mission is to protect and serve the interests of the American people while upholding the principles of justice and the Constitution.

State Attorney General’s Office (AG):

State Attorney General’s Offices exist in each U.S. state and are responsible for representing the legal interests of their respective states and their citizens. State attorneys general serve as the chief legal officers for their states and oversee various legal matters, including enforcing state laws, defending state agencies and officials in legal actions, and advocating for consumer protection. They often take legal action against entities that engage in fraudulent or deceptive practices, antitrust violations, and environmental violations within their jurisdictions. State attorneys general play a vital role in upholding the rule of law and protecting the rights and welfare of their state’s residents.

Navigating Complex Investigations with Seasoned Advocates

Dealing with inquiries from the SEC, DOJ, or AG’s office demands a legal team deeply versed in the intricacies of securities law. Scarinci Hollenbeck, LLC specializes in providing strategic counsel and defense specifically for officers, directors, and companies undergoing investigations involving securities fraud, misrepresentation, and related concerns. 

Protecting Your Interests Amid Legal Scrutiny

Our seasoned attorneys comprehend the significant impact these investigations can have on your professional reputation and corporate standing. We meticulously assess your situation and formulate a comprehensive defense strategy tailored to the nuances of SEC, DOJ, or AG inquiries. Unwaveringly safeguarding your rights throughout, we aim to minimize potential legal and financial consequences.

Tailored Legal Strategies for Your Challenges

In these critical junctures, having attorneys well-versed in securities law and regulatory landscapes is paramount. At Scarinci Hollenbeck, LLC, our dedicated attorneys boast multiple decades of extensive experience handling cases tied to securities investigations. We offer strategic legal counsel that acknowledges the distinct challenges faced by officers, directors, and companies embroiled in SEC, DOJ, or AG investigations.

Navigating Intricate Regulatory Landscapes

Collaboratively, we work with you to grasp the unique intricacies of your circumstances, adapting our legal strategies to align with your goals. Whether you’re dealing with SEC compliance, DOJ inquiries, AG investigations, or related matters, our unwavering legal support remains constant.

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Why Choose Us?

Reach Out for Strategic Guidance

Should you find yourself under investigation by the SEC, DOJ, or AG’s office for securities fraud, misrepresentation, or related issues, don’t hesitate to contact us promptly. The legal team at Scarinci Hollenbeck, LLC is poised to offer the comprehensive guidance and robust defense necessary during this pivotal period.

Remember, seeking counsel from attorney’s experienced in navigating investigations is essential to taking appropriate actions tailored to your specific circumstances.

SEC Investigations FAQs

Q
How Can I Ensure Compliance During SEC, DOJ, or AG Investigations?
A

When navigating investigations by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), or Attorney General’s (AG) office related to securities fraud, misrepresentation, and more, compliance is of paramount importance. To address these inquiries effectively:

Engage Specialized Legal Counsel: It’s crucial to seek counsel from legal professionals well-versed in securities law and the intricate regulatory landscape. Their expertise will guide you through complexities, ensuring your actions align seamlessly with legal requirements.

Conduct a Comprehensive Assessment: Carefully evaluate your business operations, policies, and practices to preemptively identify potential issues that might attract scrutiny. Proactively addressing these matters showcases your dedication to compliance.

Collaborate and Communicate Transparently: Embrace a proactive and cooperative approach by fully collaborating with investigators and maintaining transparent communication. Demonstrating commitment to resolving concerns can positively impact how authorities view your efforts.

Q
What Is the Interplay Between SEC, DOJ, and AG Investigations?
A

Interactions among the Securities and Exchange Commission (SEC), Department of Justice (DOJ), and Attorney General’s (AG) office can be intricate, especially in matters of securities fraud or misrepresentation:

Distinct Jurisdictions: Each entity operates independently within its jurisdiction. The SEC primarily focuses on civil enforcement, while the DOJ handles criminal cases. The AG’s office often oversees state-level violations.

Exchange of Information: There are instances when these bodies share information, particularly when investigating interconnected matters. This collaboration enhances the collective understanding of potential wrongdoing.

Convergence of Investigations: In certain situations, SEC, DOJ, and AG investigations may converge due to shared interests. For example, allegations involving both civil and criminal violations could lead to parallel investigations for comprehensive enforcement.

Q
How Should I Respond to a Subpoena or Inquiry?
A

When confronted with a subpoena or inquiry from the SEC, DOJ, or AG pertaining to securities fraud, misrepresentation, and related issues, a strategic response is vital:

Prompt Legal Consultation: Reach out to experienced legal advisors immediately to evaluate the situation and formulate a response strategy aligned with your circumstances.

Preserve Essential Documents: Safeguard all pertinent documents and communications, ensuring their preservation and accessibility for potential investigations.

Transparency and Cooperation: Approach the investigation with full cooperation, providing accurate and transparent information. Open dialogue with investigators is essential.

Protecting Legal Privileges: Understand the significance of attorney-client privilege and collaborate closely with your legal team to safeguard sensitive communications appropriately.

Q
What Are the Potential Consequences of Non-Compliance?
A

Neglecting compliance in the face of SEC, DOJ, or AG investigations can lead to severe outcomes:

Civil Penalties: Violating SEC regulations can result in civil penalties, fines, and sanctions, impacting both reputation and financial stability.

Criminal Charges: DOJ investigations might lead to criminal charges, including fines and potential imprisonment for individuals found guilty of securities fraud or related offenses.

Reputation Damage: Even without legal penalties, non-compliance can tarnish your company’s reputation and erode investor and public trust.

Client Testimonials

We are approaching our second year working with the Scarinci Hollenbeck, LLC. Their team of attorneys have you covered from head to toe. Whether you need help in corporate compliance, cryptocurrency, FINRA arbitration or commercial litigation.
Jon-Jorge Aras did a fantastic time navigating an extremely challenging time in my life with my career on the line. He is a passionate lawyer who fought tooth and nail to achieve expungement. I am back in the drivers seat in my career after nearly two years thanks to him and The Scarinci Hollenbeck, LLC
Jon-Jorge Aras is an exceptional lawyer. I hired Jon-Jorge to help with a Finra expungement and got it done for me in a fast amount of time. He took the time to understand my case and the impact the defamatory statement had on my career and my life. When I was arguing my case you can feel the passion as if it was personal to him. I highly recommend Jon-Jorge for your legal services.
I have to compliment Chris Warren and the entire team at Scarinci Hollenbeck, LLC. They were extremely professional and was very detailed oriented in their work. Specifically, they spent a lot of time focused on my needs and communicated their process every step. I would never hesitate to use them and highly recommend Chris and the firm.
Results may vary depending on your particular facts and legal circumstances.