left-caret
Insights

attorney authored

Investigations by the U.S. Securities and Exchange Commission

March 12, 2015

By JOHN S. DURRANT, ADAM M. & NEIL J. SCHUMACHER

The U.S. Securities and Exchange Commission (SEC) strives to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. To accomplish its mandate, the SEC investigates publicly traded companies and associated individuals suspected of violating federal securities laws. These investigations often lead to enforcement proceedings, with the SEC bringing "hundreds of civil enforcement actions against individuals and companies" annually.

Practice Areas


For More Information

Image: Neil J Schumacher
Neil J Schumacher
Of Counsel, Litigation Department
Image: Adam M Reich
Adam M Reich
Associate, Litigation Department