SEC Enforcement

Mintz Levin represents individuals and entities in SEC investigations throughout the US. Our experience includes representation of clients facing financial fraud, insider trading, manipulation and registration, and regulated entities.

Financial Fraud

We have represented issuers, officers, directors and employees in investigations relating to alleged financial fraud with respect to SEC filings, shareholder reports and press releases.

Insider Trading

Our insider trading representation includes:

• issuers in investigations relating to alleged leaks to investors of negative information which was subsequently publicly disclosed
• institutional investors who allegedly traded on information gleaned from corporate officials or securities analysts prior to the public dissemination
• various individuals (officers, directors, venture capitalists) with respect to certain challenged trades
  

Manipulation and Registration

We have represented issuers and individuals in investigations relating to the alleged offer or sale of unregistered securities, as well as issuers who have been victimized by short-sellers.

Regulated Entities

Our regulated entities representation includes:

• investment advisers with respect to issues arising in SEC inspections
• mutual fund account managers with respect to possible utilization of alleged investment opportunities of funds
• investment companies in investigations relating to valuation and pricing of portfolios
• transfer agents and custodians in investigations relating to various issues
• investment companies and advisers with respect to adequacy of compliance procedures
• broker-dealers and branch managers in "failure to supervise" investigations
  

In summary, we have worked with numerous cases filed in federal and state courts throughout the nation involving a broad range of issues. Our objective is to provide our clients with advice and representation that is both expert and practical. We strive to render best-in-class legal services that address our clients’ business issues at a reasonable cost