An Experienced Hand to Guide You
From the moment you are first notified of an administrative investigation or enforcement action, our team of experienced litigators, ex-SEC attorneys and ex-federal prosecutors offers you the confidence of experience in guiding you through your response.
We can help craft your initial reply letter in an effort to limit the scope and duration of the investigation and the document production so as to maximize the prospect for a favorable outcome, counsel you on questions of privilege when presented with a document request and advise you on the pros and cons of cooperation agreements.
We regularly work with both companies and accounting firms that are involved in enforcement investigations as well as individuals who need separate representation, including individuals facing parallel SEC and DOJ investigations.
We have broad experience in reaching suitable settlements that avoid costly battles and the negative effects of publicity, and we also have the team and the experience to take matters to trial in appropriate circumstances – an approach that, in turn, often produces more favorable settlements with the regulators.
Such investigations and lawsuits potentially are covered under indemnity agreements and directors’ and officers’ (D&O) policies, which often provide for the advancement of attorneys’ fees and costs in defending such actions. Orrick’s securities litigators and Insurance coverage attorneys can assist you in determining your indemnity and insurance rights. We also have strong relationships with D&O insurance carriers, so and can assist you in working with insurance carriers.
We deal with the staffs of the SEC, PCAOB, SROs, CFTC and state regulatory authorities on a regular basis, and Orrick lawyers are well-known and well-respected by the staff in Washington, D.C., San Francisco, Los Angeles, New York and other regional offices.
The situation may be new and daunting to you, but Orrick’s attorneys are well-versed in the situation and are here to help you through it.