Handling SEC Enforcement Matters

September-October 2018 | The Champion

Representing clients in investigations conducted by and cases brought by U.S. Securities and Exchange Commission's (SEC) Division of Enforcement requires strong advocacy skills. Criminal defense practitioners are well suited to SEC work, because strong advocacy is what criminal defense practitioners are called upon every day to provide. It is important, though, to know how the landscape at the SEC differs from criminal defense forums. This article makes the comparisons, points out the contrasts, and for the benefit of criminal defense practiioners who have not yet had the opportunity to deal with SEC Enforcement, demystifies the process.