Securities Litigation Investigations and Enforcement

At Troutman Sanders, we know that the mere initiation of a law-enforcement or agency investigation can be enough to damage the reputation and business outlook of corporations, executives and employees. Our Securities Litigation attorneys work with businesses and individuals in responding to enforcement actions, investigations and proceedings before the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), and other federal and state regulatory agencies.

We also design and conduct internal investigations for boards of directors and their committees in need of a confidential, objective assessment of certain business activities or practices. These investigations can arise independent of, or in conjunction with, governmental investigations, regulatory proceedings or private litigation.

  • Conducting internal investigations involving significant accounting fraud issues for a national wholesale mortgage lender under investigation by the DOJ and SEC.
  • Representing a financial institution under parallel investigations by the SEC and in a federal grand jury proceeding for alleged securities fraud, bank fraud and embezzlement.
  • Representing a multinational chemical company in an investigation by the DOJ Antitrust Division of issues related to price fixing and customer and territorial allocation.
  • Representing a major animal-health company in an internal investigation regarding allegations made by a former employee and whistleblower involving alleged inaccurate FDA reporting.