Jenner & Block

SEC Enforcement

Below are some of the firm's representative engagements in SEC Enforcement matters:

  • Representation of an officer of an international banking institution in connection with a SEC investigation of alleged financial fraud.
  • Representation of a Fortune 100 company in a SEC and internal investigation related to financial disclosures.
  • Representation of a major hedge fund in an SEC investigation focusing on trading issues.
  • Representation of a Fortune 500 manufacturer in SEC investigations concerning insider trading and public disclosures.
  • Representation of an information technology services company in a SEC investigation regarding adequacy of disclosures in its public filing.
  • Representation of a public utility company in a SEC investigation of accounting and disclosure issues.
  • Representation of a manufacturing company in connection with a revenue recognition investigation by the SEC regarding restatements of accounts receivables.
  • Representation of a quant fund in an OCIE examination.
  • Representation of a publicly held company and officers in connection with SEC investigations into securities offerings and financial reporting made in connection with those offerings.
  • Representation of an investment company in providing information to the SEC concerning possible securities violations by others.
  • Representation of a health services company in providing information to the SEC concerning possible securities violations by others.
  • Representation of a multi-billion dollar hedge fund in a state securities investigation.
  • Advice to a public utility company regarding an internal investigation concerning possible insider trading.
  • Representation of a mutual fund company in connection with a SEC investigation into marketing practices.
  • Representation of a mutual fund sponsor in connection with market timing investigations by market regulators.
  • Representation of an educational services company in a SEC case involving allegations of insider trading in connection with the company’s engaging in a third-party transaction.
  • Representation of a hedge fund in In re Mutual Fund Trading Investigation, several mutual fund market-timing investigations by various SEC regional offices and the NY Attorney General.
  • Representation of investors in an SEC case related to a broker’s misappropriation of client funds and dissemination of false account statements.
  • Representation of a cash advance loan company in a proffer regarding a multi-million dollar pyramid fraud scheme involving offshore money transfers.
  • Representation of a brokerage firm and individual brokers in connection with an investigation into sales practices and participation in initial public offerings.
  • Representation of a publicly held company and officers in connection with an investigation into alleged securities offering violations, including allegations of financial reporting errors.
  • In the SEC’s formal investigation of a computer services company, representation of the Controller and Chief Accounting Officer of the issuer and a sales executive relating to revenue recognition issues.
  • Representation of the CFO of a major utility in a SEC investigation of accounting issues.
  • Representation of a partner of a Big Four accounting firm in a SEC investigation.
  • Representation of the CFO of a large financial institution in connection with SEC and DOJ investigations of alleged financial fraud.
  • Representation of the Board of Directors and new CEO of a large financial services firm in connection with restatements, independent investigation, and ongoing SEC and DOJ investigations.
  • Representation of the CFO of a large transportation company in connection with a SEC investigation of possible earnings management and false financial statements.
  • Representation of the chief financial officer of a national entertainment company in connection with a SEC investigation of revenue recognition reporting issues.
  • Representation of the chief financial officer of a national jewelry chain in connection with a SEC investigation of financial reporting issues.
  • Representation of an officer of an international publishing company in connection with an SEC investigation alleging false public filings.
  • Representation of an officer of a cable system and broadband operator in an SEC investigation.