Stephen A. Cazares

Of Counsel

Los Angeles, San Francisco

Steve focuses his practice on representing clients under civil and criminal enforcement proceedings by government agencies, including the U.S. Department of Justice and SEC, concerning alleged violations of state and federal laws, including securities laws and FCPA violations, as well as federal antitrust matters. He is also available to assist the firm’s corporate clients in conducting internal investigations.

Steve Cazares is a former federal prosecutor and a former enforcement attorney at Securities and Exchange Commission (SEC), who leverages his governmental experience with both civil and criminal matters for his clients. During his time as Deputy Chief of the Major Frauds Section of the U.S. Attorney’s Office in Los Angeles, Steve led many of the largest and highest profile white collar investigations and prosecutions in Southern California. Many of these matters involved parallel criminal, civil, and/or SEC regulatory investigations and litigation, making Steve uniquely qualified to assist clients in managing the complexities of parallel civil and criminal proceedings.

  • Practice Highlights

    • Veteran Trial Lawyer Significant experience trying cases, including as lead or co-lead counsel in sixteen jury trials to verdict, and as a brief writer and oral advocate in a dozen appeals before the Ninth Circuit Court of Appeals, including two published opinions.
    • Former Federal Prosecutor Led high-profile white-collar investigations and prosecutions involving corporate and securities fraud, FCPA violations, investment adviser fraud, money laundering, and healthcare fraud, as Assistant U.S. Attorney for the U.S. Attorney’s Office in Los Angeles. Member of the Attorney General’s Securities and Commodities Fraud Task Force, Financial Fraud Task Force, and Supervisor for the Department of Justice’s Health Care Fraud Strike Force in the Central District of California.
    • Former SEC enforcement attorney Led investigations into violations of federal securities laws including public company disclosure violations, accounting fraud, insider trading, and investment adviser fraud, as a staff attorney for the SEC’s Los Angeles Regional Office.

    Background

    • Assistant United States Attorney and Deputy Chief, Major Frauds Section; United States Attorney's Office, Central District of California, Los Angeles, 2004-2019
    • Staff Attorney, Division of Enforcement, Securities and Exchange Commission, Los Angeles, 1998-2004
    • Judicial Extern, Hon. Stephen Reinhardt, United States 9th Circuit Court of Appeals, Los Angeles
    • Law Clerk, Mexican American Legal Defense & Education Fund, Los Angeles
  • Steve's experience includes: 

    • United States v. Florian Homm et al.* Prosecution of European hedge fund manager and Beverly Hills stock broker in net asset value fraud that caused over $200 million loss to hedge fund investors. (2013-2019)
    • United States v. Douglas DeCinces et al.* Successful appeal, oral argument, and published 9th Circuit opinion. 808 F.3d 785 (9th Cir. 2015). Two-month jury trial and conviction of former MLB star for insider trading in relation to acquisition of Advanced Medical Optics by Abbott Laboratories. (2017)
    • United States v Ali Amin* Prosecution of owner of a Los Angeles-based food distribution company for operating an unlawful money transmittal business to transfer over $17 million between Iran and the United states via undisclosed bank accounts in Tehran and Switzerland in order to circumvent the prohibitions under the Iran Sanctions Act. (2015)
    • United States v. Toby Scammell* Prosecution of former consultant for insider trading in connection with the acquisition of Marvel Entertainment by The Walt Disney Company. (2014)
    • United States v. Scott London* Oversaw the investigation and prosecution of a partner at a Big Four accounting firm (KPMG) for insider trading related to tips a friend of confidential information about KPMG audit clients in exchange for kickbacks. (2013)
    • United States v. Michael Sellers* Prosecution of former CIA agent for defrauding investors in independent films "Eye of the Dolphin" and "Way of the Dolphin." (2012)
    • United States v. Allan Boren* Prosecution of former executive of the publicly traded Manhattan Bagels Company for securities and accounting fraud in relation to a revenue inflation scheme. (2004)

    * Denotes experience completed at a prior firm