Tactical Representation in Securities and SEC Criminal Matters
The Freedman Firm represents executives, financial professionals, and corporations in investigations and enforcement actions brought by the U.S. Securities and Exchange Commission (SEC), the Department of Justice (DOJ), and other regulatory agencies. Our attorneys combine prosecutorial insight, courtroom experience, and discretion to protect clients facing allegations that threaten their reputations, businesses, and personal freedom.
SEC investigations are often complex and fast-moving, with the potential to expand into parallel civil and criminal proceedings. We understand the stakes — financial, professional, and personal — and respond swiftly to contain risk. Our attorneys are skilled in navigating every stage of the process, from responding to subpoenas and Wells Notices to negotiating with regulators and, when necessary, litigating in federal court.
We have represented clients in cases involving:
- Insider Trading – Allegations of trading based on material nonpublic information, often overlapping with DOJ criminal prosecutions.
- Accounting & Disclosure Fraud – Claims involving false statements, omissions, or misrepresentations in financial disclosures.
- Market Manipulation – Alleged price-fixing, pump-and-dump schemes, or improper trading activity.
- Unregistered Offerings and Misleading Investment Promotions – Accusations of securities law violations involving private placements or cryptocurrency assets.
- Corporate and Executive Investigations – Internal reviews and defense of officers, directors, and employees during SEC and DOJ inquiries.
Because SEC enforcement often proceeds in parallel with criminal investigations, our dual experience in white collar defense and regulatory enforcement allows us to coordinate a unified response. We work discreetly to present the facts, engage constructively with regulators, and seek to resolve matters before formal charges are filed.
When litigation cannot be avoided, The Freedman Firm’s trial lawyers are prepared to defend clients in court with the same credibility, precision, and judgment that define all our work.
