SEC & Financial Enforcement Response
Law & Forensics helps financial institutions and securities firms respond to investigations and enforcement actions brought by the SEC, CFTC, OCC, and Treasury Department. Our team, which includes former SEC senior attorneys and federal investigators, combines forensic analysis with enforcement-defense experience to manage regulatory exposure and resolve matters on favorable terms.
SEC & Financial Enforcement Response capabilities
Regulatory Investigation Support
We support responses to investigations and enforcement actions by financial regulators, including regulatory document review, witness preparation, and the technical investigation of alleged violations such as market manipulation, insider trading, and anti-money laundering breaches.
Trading and Communications Analysis
We analyze trading records, communications, and trading systems to identify the specific transactions at issue and reconstruct the conduct underlying a regulatory inquiry.
Internal Investigations and Compliance Review
We conduct internal investigations to identify compliance failures, examining policies, control procedures, and supervisory processes to assess remediation needs and evaluate the organization's response to regulatory requirements.
Former Regulator and Prosecutor Expertise
Our experts include former SEC senior attorneys and federal investigators who held leadership roles prosecuting securities fraud, FCPA violations, crypto asset enforcement, and complex financial crimes, directing investigations into broker-dealer implosions, multinational bribery schemes, market manipulation, and insider trading.
Enforcement Defense and Settlement Strategy
We use detailed investigations and expert analysis to support settlement negotiations, prepare response submissions, and develop enforcement defense strategies tailored to banking, securities, and derivatives markets.
SEC & Financial Enforcement Response — matters we are engaged for
A document request arrives with an unrealistic deadline
The volume implied by the request exceeds what the timetable allows. Negotiating scope credibly requires knowing the actual data volumes, which means measuring before responding.
Trading and communications have to be read together
Neither the order data nor the chat record answers the question alone. Correlating them on a shared timeline is what establishes whether conduct was coordinated or coincidental.
Personal devices carry business communications
Regulators have made off-channel communications an enforcement priority in their own right. Establishing what exists, on whose devices, is frequently a larger exposure than the underlying conduct.
The remediation has to be shown, not asserted
Credit for cooperation turns on demonstrating that the control gap is closed. Evidence that the new control operates is what converts a commitment into mitigation.
SEC & Financial Enforcement Response — frequently asked questions
Which regulators do you support clients before?
We support financial institutions and securities firms responding to investigations and enforcement actions by the SEC, CFTC, OCC, and Treasury Department across banking, securities, and derivatives markets.
What types of alleged violations do you investigate?
We conduct technical investigations into market manipulation, insider trading, misuse of material nonpublic information, anti-money laundering violations, FCPA and bribery matters, and other regulatory breaches.
What experience does your team bring to enforcement matters?
Our experts include former SEC senior attorneys and federal investigators who served in leadership roles prosecuting securities fraud, FCPA violations, crypto asset enforcement, and complex financial crimes, with work resulting in charges and enforcement actions against more than 100 individuals.
How do you support resolution of a regulatory matter?
We analyze trading records, communications, and compliance controls to identify the conduct at issue and evaluate supervisory procedures, then support witness preparation, response submissions, and settlement negotiations while helping firms implement enhanced surveillance and compliance procedures.
SEC & Financial Enforcement Response — questions, terms and comparisons
Terms defined
Investigations experts who testify to this work
Full expert panel →
Jeremy Desor
Senior Consultant
Complex Financial Crime · Securities Fraud Investigation · Money Laundering & Asset Tracing
George Pierce
Expert Consultant
Regulatory Compliance · Internal Investigations
Our experts serve as court-appointed special masters, forensic neutrals, and arbitrators — 40 appointments are listed by matter and citation.
SEC & Financial Enforcement Response case results
Energy / Oil & Gas Developer
Forensic FCPA Investigation for an International Energy Developer
Media & Entertainment
Exposing a Royalty-Pipeline Licensing Fraud for a Global Media Company
National Retail / E-Commerce
Trade-Secret Exfiltration Forensics Behind a National Retailer's Emergency Injunction