SEC, DOJ, & REGULATORY INVESTIGATIONS
Alto Litigation represents clients of all types who are facing or anticipating investigations from the SEC, DOJ, or other regulatory entity, whether federal, state, or local. We have significant experience in representing clients in investigations of all types, and two of our lawyers have government experience: a former Branch Chief in the SEC’s Division of Enforcement, and a former Assistant United States Attorney in both the Southern District of New York and the Northern District of California.
We understand that when a regulator is investigating a client, that has profound implications for the client, and we understand the importance of handling the investigation with sensitivity and efficiency.
REPRESENTATIVE MATTERS*
Representation of CEO of Silicon Valley company in SEC investigation and settlement.
Convinced SEC to drop all allegations against public company CFO after in-person meeting with senior staff in D.C., despite local staff’s earlier threats of an enforcement action.
Representation of hedge fund in SEC investigation concerning compliance of derivative transactions with Dodd-Frank.
Lead counsel in SEC v. Truong, a decision in the Northern District of California which limited the ability of the SEC to bring insider trading cases to trial based on internal investigations.
Representation of employees of Silicon Valley companies in SEC insider trading cases that did not result in recommendation for an enforcement action.
* Includes matters Alto attorneys worked on when employed by the government or prior law firms.
thought leadership
SEC Compliance Concerns in the Covid-19 Era
SEC Commissioner Proposes Safe Harbor for Cryptocurrency Offerings and Trading
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