Practices | Financial Services and Securities Law

SEC Examinations and Enforcement/Internal Investigations

The firm offers counseling, management, and defense in SEC examinations and enforcement matters and conducts independent internal investigations on behalf of boards of directors, various committees of boards, and management.  The firm offers representation to corporate and individual clients in matters involving allegations of:

  • securities fraud
  • misleading or inadequate financial disclosure
  • internal control, accounting, and record-keeping deficiencies
  • auditor independence issues
  • insider trading
  • market manipulation
  • unregistered securities offerings
  • Foreign Corrupt Practices Act violations
  • improper broker-dealer practices (improper sales practices, customer protection rule violations, failure to supervise)
  • mutual fund sales practices
  • violations of the Investment Company Act of 1940 or the Investment Advisers Act of 1940
  • “aiding and abetting” liability
  • privacy law breaches (GLB, Reg. S-P, state privacy laws applicable to the securities industry)

Internal Investigations
Internal investigations can be a critical means for businesses to uncover and tackle potential issues of misconduct within their organizations.  Handled appropriately, internal investigations can help deter regulatory intervention and limit the organization’s exposure to lawsuits. Bernstein Shur provides experienced guidance on, among other things, corporate compliance and governance issues related to the Sarbanes-Oxley Act, SEC regulations, internal control and accounting issues, and whistleblower allegations.  Bernstein Shur financial services and securities attorneys aim to provide advice and solutions that enable our clients to protect their businesses and minimize risks.