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SEC and Administrative Enforcement |
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Cotsirilos, Tighe & Streicker has extensive experience defending clients against the range of regulatory investigations and enforcement actions brought by, among others, the Securities and Exchange Commission, the CFTC, NYSE, National Association of Securities Dealers (NASD), the Nuclear Regulatory Commission (NRC), as well as similar state agencies. Attorneys at the firm previously have served as high-ranking federal prosecutors and have a thorough and nuanced understanding of the government’s strategies and tactics. The firm works with clients to prepare and present an aggressive defense, with the goal of heading off an investigation before it reaches the public.
Representative cases include:
- Represented partner from “Big Five” accounting firm in SEC enforcement proceedings;
- Represented CFO of multi-national corporation in SEC investigation arising from
$1 billion-plus restatement;
- Represented mid-level manager in SEC enforcement action arising from allegations of accounting fraud;
- Represented treasurer of large public company in SEC enforcement action alleging accounting fraud;
- Represented union officials and executives in investment industry targeted in Department of Labor investigations;
- Represented individuals and tax preparers alleged to have committed tax violations by the IRS;
- Represented wide range of individuals involved as witnesses in SEC and other administrative investigations.
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