The recent regulatory enforcement climate has been unprecedented, both in terms of the wide-range of matters being investigated and the aggressiveness of various regulators. If you own or operate a regulated business, chances are you will or have become part of a regulatory investigation or enforcement proceeding. When that happens, you need to take appropriate action to protect yourself and your organization from the government.
Homer Bonner Jacobs attorneys have significant experience representing organizations and individuals who have become subjects of investigations or enforcement proceedings by federal and state governmental agencies, including the Commodity Futures Trading Commission, Securities and Exchange Commission, Federal Trade Commission, Federal Communications Commission, U.S. Environmental Protection Agency, U.S. Food and Drug Administration, U.S. Department of Education, Florida Attorney General, as well as other state regulators or industry self-regulatory organizations like the Financial Industry Regulatory Authority. Our clients include securities broker-dealers, investment advisors, investment companies, hedge funds, publicly-held companies, banks, insurance companies, for-profit schools, accounting firms, commodities firms, futures commission merchants, precious metals dealers, as well as the officers, directors, partners and employees of these companies.
Representing a client in a regulatory enforcement investigation or proceeding presents challenges and requires strategies different from those involved in representing a client in civil litigation or a commercial dispute. Because the initiation of an enforcement action by a regulator can severely damage a person’s or company’s reputation and business prospects, our lawyers recognize the importance of negotiating with regulators at the earliest stage possible to demonstrate that an enforcement action is not appropriate. We take proactive steps during the non-public stage of an investigation before regulators have decided whether to proceed.
If an enforcement action cannot be avoided, our lawyers are well-prepared to litigate against any governmental agency or self-regulatory organization in court, in administrative proceedings, and, if necessary, on appeal. We have aggressively litigated against most regulators on various issues, including temporary restraining orders, preliminary injunctions, and limiting the scope of or overturning orders involving asset freezes.
If you or your company are the subject of an issue involving a state or federal regulator, contact us. One of our experienced attorneys will provide you with a free initial consultation.