Find Lawyers in America for Litigation - Regulatory Enforcement (SEC, Telecom, Energy)
Practice Area Overview
Additionally, certain organizations and individuals may be subject to disciplinary investigations and action by self-regulatory organizations overseen by an administrative agency, such as the Financial Industry Regulatory Authority or the Public Company Accounting Oversight Board. Many regulatory enforcement actions are civil proceedings; however, federal and state criminal agencies, including the Department of Justice and state Attorneys General, may share enforcement authority. Particularly egregious transgressions thus may be subject to criminal investigation and enforcement as well.
Regulatory enforcement matters are initiated in a variety of ways, including by a whistleblower tip, an agency’s own monitoring of the industry, or self-reporting by a firm or individual. Enforcement matters typically begin as a fact-finding investigation, which are often nonpublic. Agencies may have the authority to seek documents from companies, as well as to subpoena individuals to provide sworn testimony on the record. Information may be sought from third parties, as well as from firms and their current or former employees. Additionally, internal investigations conducted by independent outside counsel may precede or run in parallel with a regulatory investigation. Once an investigation is completed, enforcement personnel typically make a recommendation about the appropriate enforcement action to take, or whether to drop the matter. If approved, an enforcement action frequently, but not always, is filed as a public proceeding.
Regulatory enforcement defense attorneys counsel organizations and individuals through investigations and, if needed, litigation. Defense counsel acts as the primary contact with agency personnel, often gleaning valuable insights into an investigation’s direction and scope in the process, and presenting opportunities to advocate against further action involving a client. As a result, counsel frequently is retained early in an investigation. Likewise, regulatory enforcement attorneys regularly conduct, or represent individuals in, internal investigations. Regulatory enforcement counsel also defends clients against claims alleged in filed enforcement actions, which may proceed as an administrative hearing or as a lawsuit in the federal or state courts.
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Gabriel Aizenberg is a commercial litigator representing corporate and individual plaintiffs and defendants in complex proceedings in federal, bankruptcy and state courts and arbitration forums. He focuses his practice on litigation areas such as fraud, contractual disputes, business torts, breach of fiduciary duty, claims of violations of non-competition and non-solicitation agreements, trade secret misappropriation, and government contracts. Gabriel has experience in post-judgment proceedin...
Mr. Alford represents public utilities and other clients in a variety of matters, including commercial and tort litigation, regulatory proceedings, and contract and property issues. Representative cases include construction disputes, securities actions, antitrust and unfair trade practice claims, medical licensing, and consumer litigation. Mr. Alford also counsels clients concerning regulatory compliance, employment, and general business issues. Mr. Alford graduated from Louisiana State Unive...
Julia Ambrose provides transactional and regulatory counsel to media companies navigating the rapidly-changing video programming industry. She is also an experienced litigator, well-versed in commercial and constitutional litigation in all levels of state and federal trial and appellate courts. Technology is evolving rapidly, but the laws and regulations governing broadcast television have not always kept pace. Julia has significant experience helping media companies and broadcast trade assoc...
A former Assistant U.S. Attorney with a focus on public corruption and national security, Jacqueline Arango is co-chair of Akerman’s White Collar Crime & Government Investigations Practice. She leads a team including former federal prosecutors, senior enforcement lawyers at the SEC, and government lawyers representing corporations, financial institutions, boards of directors, and individuals in government investigations, regulatory enforcement matters, grand jury probes, internal in...
Bill Athanas represents companies and individuals in government enforcement matters, focusing on federal grand jury investigations. He has almost 30 years of white-collar experience, roughly a third of which was spent as a federal prosecutor in Washington, D.C. and Birmingham. Bill has handled hundreds of complex criminal cases and represented clients in all facets of those matters – whether as subjects, targets or witnesses, or those who simply receive subpoenas for documents. In repre...
Ray Ausrotas is a founding partner of Arrowood LLP. He has a diverse commercial and general litigation practice, representing individuals, shareholders and corporate officers, and governmental and business entities, in a broad variety of disputes (including over non-competes and trade secrets), and administrative agency matters. He handles all manner of claims through trial and appeal, in state and federal court, including those sounding in breach of fiduciary duty, misappropriation of confid...
Dave Barry is Pierce Atwood’s managing partner. Previously, Dave was chair of the firm’s Litigation Practice Group, representing clients in a wide variety of complex litigation and counseling clients on how to avoid or minimize the risks and burdens of litigation. Dave also chaired the firm’s Government Investigations and White Collar Criminal Defense practice. He regularly manages complex business litigation in federal and state courts and has extensive experience assisting...
As Chair of the CSG Law Litigation and White Collar Defense & Investigations Groups and a former federal prosecutor, Matthew Beck brings exceptional skills and insight to representing companies, government entities, and C-suite executives in game-changing complex civil litigation, white collar criminal investigations, and securities enforcement matters. His broad practice also includes acting as outside general counsel for mid-sized private companies, managing their entire portfolio of le...
Ronald Berenstain, a partner in the firm's Litigation practice, has been lead counsel in scores of high-stakes securities and corporate governance cases for more than 30 years. His practice is focused on representing public companies and their officers and directors, as well as underwriters and accountants in shareholder class action litigation, shareholder derivative litigation, merger and acquisition litigation, Employee Retirement Income Security Act (ERISA) class action litigation, Securi...
Ned Bergin is a partner in the Litigation Practice Group. He represents utilities and publicly held companies in a broad range of disputes. Ned has a robust commercial litigation practice focused on utility regulation, complex and class action litigation, contract litigation, energy litigation, state constitutional and home rule law and antitrust matters. He represents publicly held entities in these areas, including large nationwide telecommunications providers and energy production and coge...
Robert Bieck is special counsel in the Litigation Practice Group. He focuses on securities and other regulatory compliance and enforcement defense, and capital markets products and corporate governance litigation. Rob represents securities brokers, banks and other financial institutions, and corporations, as well as their directors, officers, and other employees, in matters arising under federal and state securities laws, general corporate laws, banking laws, and the Employee Retirement Incom...
Deborah Birnbach is a partner and co-chairs Goodwin’s Complex Litigation & Dispute Resolution and Public M&A / Corporate Governance practices and is a member of the firm’s Life Sciences Disputes group. She specializes in securities litigation, including class action defense; SEC, regulatory and internal investigations; M&A-related litigation; stockholder disputes; fiduciary duty claims; and proxy contests. Ms. Birnbach’s practice is national in scope and clients ...
Brandon began his legal career working for judges—first clerking for a Missouri Supreme Court judge and then for a U.S. District Court judge. He then entered the courtroom as a litigator, and over the last 13 years has litigated significant, high stakes cases in courts in Kansas, Missouri, and fourteen other states. Brandon has represented corporate and individual clients in matters ranging from trucking accidents to antitrust monopolies to large breach of contract and business tort mat...
Guy has over 40 years of trial experience with over 100 trials in State and Federal Courts, as well as dozens of trials conducted before arbitration panels. He primarily represents plaintiffs in complex commercial, securities, financial malpractice and consumer fraud litigation and in class actions, generally on a contingency fee basis. He also represents defendants in selected large, complex commercial disputes. He has successfully represented plaintiffs in numerous disputes against brokerag...
I am a former federal prosecutor and a co-founder of Chaiken Ghali LLP, a national boutique white collar litigation and government investigations law firm. The firm represents companies and individuals in white collar criminal matters, grand jury investigations, government investigations and enforcement actions, internal investigations, corporate compliance program counseling, and complex civil litigation in state and federal courts. We have significant experience with matters involving secur...
Joseph C. Coates III focuses his practice on securities litigation, regulatory and class actions and serves as the head of the West Palm Beach Securities Litigation Group. Joe has represented most of the major broker/dealers in all aspects of their business, including federal and state courts, regulatory matters, and arbitrations. His representation of clients include appearances as appellate counsel in securities litigation cases in federal and state courts. Joe also focuses on shareholder d...
Frank's practice is focused on utility-related regulation and litigation, with an emphasis on matters involving the electricity and telecommunications industries. He also has significant experience in a range of environmental law issues. His work in the utilities industry has included issues involving electricity, telephone, gas and water regulation before the South Carolina Public Service Commission, where he has appeared for 30 years. In the environmental field his experience includes resol...
Jordan Eth is Chair of the firm's Securities Litigation, Enforcement, and White-Collar Criminal Defense Group. He is one of the nation's leading securities litigators, representing public companies and their officers and directors in securities class actions, SEC investigations, derivative suits, mergers and acquisitions litigation, and internal investigations. In 2008, Mr. Eth received aCalifornia Lawyer Attorney of the Year Award for co-leading the successful defense of JDS Uniphase Corp. a...
John Fagg is the co-head of the Litigation group and the co-head of the White Collar, Regulatory Defense, & Investigations practice. John represents companies and individuals under investigation by or facing charges from criminal and other government enforcement authorities throughout the United States and around the world. John regularly represents corporations and individuals in high profile criminal and government enforcement matters of all types. John has represented clients in a wide...
Peter L. Gardon is a shareholder and the chairman of the firm's Telecommunications and Energy Practice. He is also a member of the Business Law Practice. Pete draws on decades of successful practice, regulatory and legislative experience to effectively counsel telecommunications and energy companies, financial institutions, health care institutions and other business clients in a variety of complex administrative, regulatory, commercial, litigation and environmental matters. Pete's clients hi...
Asheesh Goel is a one of the leaders of Kirkland’s government & internal investigations practice and serves on the Firm’s Executive Committee. Asheesh advises clients on securities enforcement matters, including internal investigations, government investigations and enforcement actions. Asheesh has developed substantial depth on enforcement matters and transactional issues involving the U.S. Foreign Corrupt Practices Act and other related laws, financial statement and disclosu...
John Hartmann is a partner in Kirkland & Ellis LLP’s litigation practice group, where he focuses on shareholder, professional liability and business litigation matters, as well as regulatory enforcement proceedings and corporate internal investigations. John has represented leading corporations, professional services firms, private investment firms, as well as their directors, officers and partners, in numerous securities class actions, shareholder derivative suits, disputes over co...
Kenneth Held is an experienced trial attorney who focuses his practice on business litigation in state and federal courts, arbitration and regulatory enforcement matters, with a particular emphasis on securities litigation, energy litigation and class action defense. His clients range from individuals to publicly traded and privately held companies, as well as private equity firms and hedge funds. Mr. Held has significant experience in securities litigation and defending corporate and individ...
Brian Hennigan is Managing Partner at Hueston Hennigan LLP. For the past 20 years, Mr. Hennigan has specialized in complex litigation with an emphasis on white collar criminal defense. Over that time period, he has successfully represented individuals and corporations facing a wide array of challenges presented by federal prosecutors and investigating agencies. More recent representations have included the successful representations of individuals facing allegations under the Foreign Corrupt ...
Noah H. Huffstetler, III is the managing partner of Nelson Mullins Riley & Scarborough’s Raleigh office. He practices in the areas of healthcare law, administrative law, and business and appellate litigation. Mr. Huffstetler is a lecturer in healthcare law, having participated in programs sponsored by the North Carolina Bar Association, the North Carolina Hospital Association, the North Carolina Medical Society, and the Duke University Graduate Program in Healthcare Administration.
Robert H. Iseman, a native of Albany, has represented both institutional and individual healthcare providers and health insurers for more than 40 years. As a partner in the Health Services Practice Group, Bob provides a full range of legal services for multi-provider healthcare systems, accountable care organizations (ACOs), hospitals, physician practice groups, health maintenance organizations and other health care providers and third-party payors. Areas of representation include corporate g...
John W. Joyce is an experienced litigator and trial attorney whose practice includes most types of sophisticated civil litigation. He represents insurance companies in coverage and claim-handling cases, broker-dealers and financial advisors in securities and employment disputes, and both businesses and individuals in contract, fraud, fiduciary liability, shareholder, restrictive covenant, and trade secret litigation. John has represented clients in more than twenty trials, evidentiary hearing...
Brad D. Kaufman is the Vice President and Treasurer of Greenberg Traurig. He is also Co-Chair of the Securities Litigation Group and leads the firm’s Associate Development Program. He focuses his practice on securities litigation and regulatory actions and has represented virtually every major broker/dealer in virtually all aspects of their business, including traditional litigation in state and federal court as well as arbitrations. Brad has defended both securities class actions and s...
With an established record of creative and effective advocacy, Cindy Laquidara navigates complex litigation matters, from administrative hearings, to federal and state trials and appeals. Her practice serves municipal authorities, private corporations with long-term lease arrangements, companies submitting competitive procurement bids and proposals, general commercial litigation, and energy related matters in dispute resolution pertaining to bid disputes, land use, transportation, contracts, ...
Gary Lincenberg is a name partner at one of the most prestigious litigation firms in the country and the National Chairman of the ABA White Collar Crime Committee. Mr. Lincenberg's success in the past five years in white collar cases has been remarkable. His two recent trials were against the United States Attorney for the Southern District of New York, where Mr. Lincenberg defended the former CFO of a semiconductor manufacturer against a securities fraud indictment alleging revenue recogniti...
Curt Long has more than forty years of experience in energy and telecommunications, representing clients in state and federal courts, and before regulatory commissions. His practice is concentrated on litigation and regulation of the natural gas, electric and telecommunications industries. Mr. Long's experience also includes retail and wholesale contracts for natural gas, electric, telecommunications, water and process water discharge services. Mr. Long’s clients include utilities, pipe...
Mike McConnell defends officers, directors, and corporations in high-stakes securities and fiduciary duty litigation. The matters litigated include securities fraud class actions, SEC investigations and inquiries, derivative cases, proxy fraud litigation, and other matters that are often ancillary to shareholder litigation, including shareholder inspection actions, disputes under shareholder voting agreements, internal corporate investigations, and other special committee matters. Mike serves...
Rick’s practice is focused on representing companies and individuals involved in complex litigation matters. Rick is experienced in a variety of high-stakes litigation areas, including complex commercial litigation, intellectual property litigation, securities claims and derivative litigation, fiduciary obligations, and corporate governance disputes. Rick has handled all phases of complex litigation from investigation through trial and appeal, as well as in arbitration and mediation. Ri...
Jim McLoughlin brings commitment, passion, and more than 35 years of cutting-edge experience to the civil disputes, criminal investigations, and trials that he strives to resolve for clients. Jim’s critical thinking, relentless preparation, and experienced perspective delivers effective results for clients. Jim has dedicated his career to winning civil and criminal cases. He has litigated for clients in state court, federal court, and in arbitration across the country. He has litigated ...
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