SECInvestigation Lawyer
Experienced legal defense for SEC investigations, securities fraud allegations, and regulatory enforcement actions.
Facing an SEC complaint, SEC violation, or SEC investigation? Being contacted by the Securities and Exchange Commission (SEC) is one of the most stressful experiences a business professional or investor can face. Whether you've received a Wells Notice, been served with a subpoena, or learned you're the target of an insider trading investigation, the stakes couldn't be higher. SEC violations can result in devastating financial penalties, industry bans, and criminal prosecution.
At the Law Offices of Matthew Cohan, we have spent years defending clients against SEC investigations and complaints. As a former prosecutor, I understand how government agencies build their cases, and more importantly, how to defend against them effectively.
Insider Trading: Trading securities based on material, nonpublic information remains one of the SEC's top enforcement priorities. These cases are complex and require sophisticated defense strategies that account for communication patterns, trading timelines, and the nuances of what constitutes "material" information.
Securities Fraud: Misrepresentations or omissions in connection with the purchase or sale of securities, including fraudulent offering documents or misleading financial statements.
Market Manipulation: Schemes to artificially inflate or deflate security prices, including pump-and-dump schemes and coordinated trading activity.
Offering Fraud: Violations related to unregistered securities offerings or fraudulent private placements.
Broker-Dealer Violations: Misconduct by financial professionals, including unsuitable recommendations, unauthorized trading, or failure to supervise.
Accounting Fraud: False or misleading financial reporting by public companies.
The SEC Investigation Process
SEC investigations typically follow a predictable pattern, though each case has unique elements:
Informal Inquiry: The SEC staff begins gathering information, often without the subject's knowledge. They may review trading records, public filings, or tips from whistleblowers.
Formal Investigation: The SEC opens a formal investigation with subpoena power. You may receive document requests or be asked to provide testimony.
Wells Notice: If the staff believes enforcement action is warranted, they issue a Wells Notice giving you the opportunity to respond before formal charges are filed.
Settlement or Litigation: Cases may resolve through settlement negotiations or proceed to administrative proceedings or federal court litigation.
Understanding where you are in this process is critical. The earlier you engage experienced counsel, the better your chances of achieving a favorable outcome.
Why Former Prosecutor Experience Matters
As a former prosecutor, I've seen investigations from both sides. I know how government attorneys evaluate cases, what evidence they find most compelling, and where weaknesses in their theories exist. This insider perspective is invaluable when defending against SEC investigations.
My experience includes:
- Representing individuals and companies in insider trading investigations, including cases involving complex trading patterns and circumstantial evidence
- Defending clients against allegations of securities fraud and market manipulation
- Negotiating favorable settlements that minimize financial penalties
I understand the pressure tactics investigators use and how to protect your rights throughout the process. More importantly, I know when to fight and when to negotiate, a judgment that comes only from experience on both sides of these cases.
Common SEC Violations and Penalties
The consequences of SEC violations can be severe and long-lasting:
Civil Penalties: The SEC can impose substantial monetary penalties, often calculated as multiples of the ill-gotten gains or losses avoided.
Disgorgement: Defendants may be required to give up any profits obtained through violations.
Injunctions: Courts may prohibit future violations, which can restrict your business activities.
Industry Bars: The SEC can bar individuals from serving as officers or directors of public companies or from working in the securities industry.
Criminal Referrals: In serious cases, the SEC refers matters to the Department of Justice for criminal prosecution, which can result in prison time.
Given these stakes, having an attorney who understands both the civil and criminal implications of SEC investigations is essential.
What to Do If You're Contacted by the SEC
If you've been contacted by the SEC or suspect you may be under investigation, take these steps immediately:
Do Not Speak with Investigators Without an Attorney: Anything you say can be used against you. Politely decline to answer questions and state that you wish to consult with counsel.
Preserve All Documents: Do not delete emails, destroy documents, or alter records. Obstruction of justice charges can be more serious than the underlying violation.
Contact an Experienced SEC Defense Attorney: Time is critical. Early intervention can shape the course of an investigation and potentially prevent charges from being filed.
Do Not Discuss the Matter with Others: Conversations with colleagues or friends are not privileged and can be discovered by investigators.
Avoid Social Media: Do not post about the investigation or related matters on any platform.
Insider Trading Expertise: Extensive experience defending clients in insider trading investigations, including cases involving tipping chains and circumstantial evidence.
Prosecutor Insight: Understanding of how government agencies build cases and strategic weaknesses in their approach.
Prosecutor Insight: Understanding of how government agencies build cases and strategic weaknesses in their approach.
Proven Results: A track record of favorable outcomes through both negotiation and litigation.
Personalized Attention: Direct access to an experienced attorney, not a junior associate or paralegal.
Strategic Defense: Customized strategies based on the specific facts of your case and your individual goals.
SEC investigations move quickly, and early missteps can be impossible to undo. Whether you're facing allegations of insider trading, securities fraud, or any other violation, you need an attorney who understands the intricacies of securities law and has the courtroom experience to defend you effectively.
Contact the Law Offices of Matthew Cohan Today
If you're under SEC investigation or have received any communication from the Commission, don't wait. Every day matters when building your defense.
Contact me immediately for a free, confidential consultation. I'll review your situation, explain your options, and begin developing a defense strategy tailored to your case.
Your future is too important to leave to chance. Let my experience as both a prosecutor and a defense attorney work for you.
Aggravated Identity Theft charges carry a Mandatory Minimum sentence that cannot be served concurrently.
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Contact Us
Kew Gardens, New York 11415
Smithtown, New York 11787