Pragmatic and Strategic Guidance When Facing Investigations, Claims

Our Government Investigations and Enforcement Actions team recognizes that the stakes could not be higher when facing investigatory scrutiny and claims from the SEC, the Department of Justice, state attorneys general, FINRA, and other regulators. The "David vs. Goliath" dynamics of such investigations coupled with what often seems like a pre-determined view of the facts by the investigators, can feel overwhelming. We strive to level the playing field for our clients – fearlessly defending your best interests and enabling you to remain focused on business. Drawing on decades of experience working pragmatically with federal and state regulators, we help you to understand and critically evaluate the investigatory focus and the range of exposure. We then guide you through the complicated cost/benefit assessment that helps us to jointly arrive at and implement the best strategy to head off, compromise, or defeat the government’s claims.   

Of course, regulatory compliance on the front end is the best way to minimize the risk of after-the-fact scrutiny and resulting exposure. As a multi-disciplinary firm, we routinely collaborate with our business and transactional attorneys to help you navigate federal and state regulations as you set up or expand your business. We work with you to structure your operations to proactively meet mandates, and we can help you develop and implement compliance programs tailored for your employees and industry – at cost-effective rates that other firms would be hard-pressed to match.

We represent clients facing government investigations and enforcement actions focusing on, without limitation: 

  • Books and records violations
  • Breaching of fiduciary duties
  • Contract negotiations
  • Corporate governance violations
  • False Claims Act violations
  • Financial reporting
  • Financing, exempt offerings, and securities offerings
  • Fraudulent offerings
  • Improper or incorrect stock valuations
  • Market manipulation
  • Mergers and acquisitions
  • Misuse of proceeds
  • Ponzi-like activities
  • Proxy violations
  • Receiver or trustee appointments
  • Securities offerings
  • Tender offers
Practice Area Contact

Patrick Akers

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsLitigation

J. David Arkell

Attorney

Alternative Dispute ResolutionConstructionLitigationAdvanced Energy

Evelyn A. Ashley

Vice-Chair, Business Section

Business and CorporateEmploymentFinance and SecuritiesIntellectual PropertyInternational Transactions and Dispute ResolutionMergers and AcquisitionsPrivate Equity and Venture CapitalPrivately Held and Emerging CompaniesSoftware and Technology

Jack W. Berryhill

Attorney

Alternative Dispute ResolutionLitigation

Allen N. Bradley

Attorney

Business and CorporateFinance and SecuritiesMergers and AcquisitionsPrivate Equity and Venture CapitalPrivately Held and Emerging CompaniesTaxTrusts and EstatesAdvanced EnergySoftware and TechnologySustainability

Caleena S. Braig

Attorney

ConstructionEmploymentLitigation

James R. Cage

Attorney

ConstructionEmploymentIntellectual PropertyLitigationFinancial ServicesInsurance

Vikrama S. Chandrashekar

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsLitigationAdvanced EnergyBrewing and DistillingMedia and Entertainment

Frederic K. “Jerry” Conover

Of Counsel

Alternative Dispute ResolutionLitigation

Amy M. DeColibus

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingConstructionMergers and AcquisitionsReal Estate

Rebecca B. DeCook

Attorney

Administrative LawEmploymentLitigationPrivate Equity and Venture CapitalAdvanced EnergyCommunications

Matt Dillman

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

Bobby W. Dishell

Attorney

Business and CorporateCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal EstateAdvanced EnergyCannabisSustainability

Tom Dolphin

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

Keely C. Downs

Attorney

Commercial and Real Estate LendingMultifamily, Planned Communities, Condos, and HousingReal EstateAdvanced EnergySustainability

Georginne Dudash

Attorney

Real Estate

Andrew T. Flynn

Attorney

ConstructionEmploymentIntellectual PropertyLitigationReal EstateInsurance

Paul R. Franke, III

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsBusiness and CorporateFinance and SecuritiesLitigationPrivate Equity and Venture CapitalReal EstateCommunicationsFinancial Services

Heidi J. Gassman

Attorney

Business and CorporateCommercial Real Estate DevelopmentCommercial Real Estate LeasingConstructionReal EstateTrusts and Estates

Rebecca B. Givens

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingConstructionPrivate Equity and Venture CapitalPrivately Held and Emerging CompaniesReal Estate

Steven J. Gockley

Attorney

ConstructionReal Estate

Garrett Graff

Attorney

Business and CorporateMergers and AcquisitionsReal EstateBrewing and DistillingFood and BeverageManufacturingCannabis

Charles Greenhouse

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsLitigationReal Estate

Scott P. Greiner, LL.M. (Tax)

Attorney

Business and CorporateTaxTrusts and Estates

Arthur K. Griffin

Attorney

Business and CorporateCommercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal EstateBrewing and Distilling

Lynne M. Hanson

Attorney

Business and CorporateFranchise and DistributionIntellectual PropertyMergers and AcquisitionsPrivate Equity and Venture CapitalFinancial ServicesFood and Beverage

Nick R. Herrick

Attorney

ConstructionEmploymentLitigationInsurance

Allison M. Hester

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsLitigation

Patrick J. Hickey

Attorney

EmploymentFinance and SecuritiesLitigationReal EstateAdvanced Energy

Yasaman H. Hosseini

Attorney

Business and CorporateInternational Transactions and Dispute ResolutionMergers and AcquisitionsPrivate Equity and Venture CapitalReal EstateTrusts and Estates

Karla Jaramillo

Attorney

LitigationCannabis

Chris Jensen

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingMultifamily, Planned Communities, Condos, and HousingReal EstateAdvanced Energy

William F. Jones

Attorney

Franchise and DistributionIntellectual PropertyLitigationReal EstateTrusts and EstatesBrewing and DistillingFood and BeverageInsuranceManufacturing

Paul W. Jordan

Attorney

Law Practice, Regulation, Ethics, and Professional LiabilityLitigationInsurance

Katie Kamenetsky

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

Danielle M. Kane

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentConstructionReal EstateSustainability

David J. Katalinas

Attorney

Business and CorporateFranchise and DistributionMergers and AcquisitionsReal EstateFood and Beverage

John W. Kellogg

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsBusiness and CorporateFinance and SecuritiesFranchise and DistributionMergers and AcquisitionsPrivate Equity and Venture CapitalPrivately Held and Emerging CompaniesAdvanced EnergyManufacturingBlockchain Technology

Craig J. Knobbe

Chair, Business Section

Business and CorporateFranchise and DistributionMergers and AcquisitionsReal EstateBrewing and DistillingFood and Beverage

Ezra Kramer

Attorney

Business and CorporateEmploymentFinance and SecuritiesIntellectual PropertyMergers and AcquisitionsPrivate Equity and Venture CapitalPrivately Held and Emerging CompaniesAdvanced EnergySoftware and TechnologyBlockchain TechnologySustainability

David A. Laird

Vice-Chair, Litigation Section

Bankruptcy, Restructuring, and Creditors’ RightsCommercial and Real Estate LendingConstructionLitigationReal EstateFinancial Services

Jennifer Knight Lang

Attorney

ConstructionLitigationReal EstateInsurance

Brendan Leanos

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsBusiness and CorporateCommercial and Real Estate LendingFinance and SecuritiesMergers and AcquisitionsPrivate Equity and Venture CapitalFinancial Services

Chris Levkulich

Attorney

Business and CorporateMergers and AcquisitionsMultifamily, Planned Communities, Condos, and HousingReal EstateTaxTrusts and Estates

Eric B. Liebman

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsConstructionEmploymentFinance and SecuritiesLaw Practice, Regulation, Ethics, and Professional LiabilityLitigationReal EstateTrusts and EstatesAdvanced EnergyFinancial ServicesInsuranceCannabis

Thomas M. List

Attorney

Commercial Real Estate LeasingConstructionEmploymentLitigationReal Estate

Stephanie D. Loughner

Attorney

Business and CorporateEmploymentPrivately Held and Emerging CompaniesReal Estate

Charles F. Luce, Jr.

Attorney

Intellectual PropertyLaw Practice, Regulation, Ethics, and Professional LiabilitySoftware and Technology

Joseph W. Mark

Attorney

Alternative Dispute ResolutionBusiness and CorporateLitigation

Chris McCall

Attorney

Business and CorporateEmploymentFinance and SecuritiesIntellectual PropertyLitigationCannabis

Courtney A. McShane

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

Jason T. Moilanen

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

John E. Moye

In Memoriam

Dean Nakayama

Chief Operating Officer

Edwin A. Naylor

Attorney

Business and CorporateIntellectual PropertyMergers and AcquisitionsManufacturing

Merc Pittinos

Chair, Real Estate Section

Commercial and Real Estate LendingLitigationReal Estate

Tasha J. Power

Attorney

Commercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

Dean Richardson

Chair, Litigation Section

Franchise and DistributionLitigationReal EstateCannabis

Lucas T. Ritchie

Attorney

Business and CorporateEmploymentFinance and SecuritiesGovernment Investigations and Enforcement ActionsLitigationPrivate Equity and Venture CapitalAdvanced EnergyFinancial ServicesInsurance

Zaki Robbins

Attorney

Business and CorporateFinance and SecuritiesMergers and AcquisitionsPrivate Equity and Venture CapitalAdvanced Energy

Nikki Roberts

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingReal EstateFinancial Services

Amy H. Ruhl

Attorney

Commercial and Real Estate LendingCommercial Real Estate LeasingReal Estate

Christopher W. Scolari

Attorney

Trusts and EstatesAdvanced Energy

Erin L. Scott

Attorney

Litigation

Tanya A. Sevy

Attorney

Administrative LawConstructionEmploymentLitigation

Lorni Sharrow, LL.M. (Tax)

Attorney

Trusts and Estates

Michael R. Siavage

Of Counsel

Business and CorporateFinance and SecuritiesIntellectual PropertyMergers and AcquisitionsPrivately Held and Emerging CompaniesSoftware and Technology

Jennifer L. Stenman

Attorney

Commercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingMultifamily, Planned Communities, Condos, and HousingReal Estate

Timothy M. Swanson

Attorney

Bankruptcy, Restructuring, and Creditors’ RightsCommercial and Real Estate LendingLitigationFinancial Services

AJ Tedeschi

Attorney

Business and CorporateFinance and SecuritiesPrivate Equity and Venture CapitalPrivately Held and Emerging Companies

Jake J. Tiernan

Vice-Chair, Real Estate Section

Commercial and Real Estate LendingCommercial Real Estate LeasingReal EstateBrewing and Distilling

Tanner J. Walls

Attorney

Administrative LawCommercial Real Estate DevelopmentEmploymentLaw Practice, Regulation, Ethics, and Professional LiabilityLitigationLaw Firms and Lawyers

Daniel C. Wennogle

Attorney

ConstructionLitigationReal Estate

Edward D. (Ted) White

Managing Partner

Alternative Dispute ResolutionBusiness and CorporateFinance and SecuritiesMergers and AcquisitionsPrivate Equity and Venture CapitalPrivately Held and Emerging CompaniesReal EstateAdvanced EnergyFinancial ServicesSustainability

Thomas Witt

Attorney

Commercial Real Estate DevelopmentCommercial Real Estate LeasingReal Estate

Mark W. Yoder

Attorney

Business and CorporateCommercial and Real Estate LendingCommercial Real Estate DevelopmentCommercial Real Estate LeasingConstructionEmploymentFinance and SecuritiesMergers and AcquisitionsPrivate Equity and Venture CapitalReal EstateCannabis