Jones Day - Services - SEC Investigations & Proceedings

Jones Day's Securities Enforcement lawyers bring to each engagement deep experience in investigating, prosecuting, defending and trying the most sophisticated administrative, civil and criminal securities and commodities enforcement matters. Our partners have served at the SEC and as chief of the Securities and Commodities Fraud Unit in the U.S. Attorney's office for the Southern District of New York. They represent clients before the Securities and Exchange Commission, the Commodity Futures Trading Commission, the industry self-regulatory organizations and state securities commissioners, as well as various U.S. attorneys' offices and other units of the Justice Department. Our lawyers have tried federal securities law charges before criminal juries, district judges and administrative law judges. They have also served upon recommendation of the SEC and by appointment of the court as consultants and to oversee settlements in SEC actions.

Our clients in securities enforcement matters include public companies, directors and board committees, auditors, broker/dealers, hedge funds, investment advisors, mutual funds, law firms, and their members and executives. The matters involve accounting and financial statement issues, including classification questions, revenue recognition, manipulation of reserves, questionable use of special purpose entities, and alleged aiding and abetting another issuer's false accounting; disclosure issues and the adequacy of SEC filings; irregularities in initial and secondary public offerings of securities; selective disclosures implicating Regulation FD; insider trading; trading irregularities in the Treasury securities market; market timing and late trading of mutual funds; broker/dealer sales practices, supervision issues and insider trading policies; auditor independence and malpractice issues; questionable foreign payments and books and records violations of the Foreign Corrupt Practices Act; and many other issues.

Our attorneys also represent clients in a wide variety of CFTC investigations, including alleged market manipulation involving several energy markets, and alleged false reporting of transactions to manipulate index prices for natural gas.

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Lawyers Staff Overview Experience Professionals Publications Main Practice Securities and Shareholder Litigation & SEC Enforcement	Jones Day's Securities Enforcement lawyers bring to each engagement deep experience in investigating, prosecuting, defending and trying the most sophisticated administrative, civil and criminal securities and commodities enforcement matters. Our partners have served at the SEC and as chief of the Securities and Commodities Fraud Unit in the U.S. Attorney's office for the Southern District of New York. They represent clients before the Securities and Exchange Commission, the Commodity Futures Trading Commission, the industry self-regulatory organizations and state securities commissioners, as well as various U.S. attorneys' offices and other units of the Justice Department. Our lawyers have tried federal securities law charges before criminal juries, district judges and administrative law judges. They have also served upon recommendation of the SEC and by appointment of the court as consultants and to oversee settlements in SEC actions. Our clients in securities enforcement matters include public companies, directors and board committees, auditors, broker/dealers, hedge funds, investment advisors, mutual funds, law firms, and their members and executives. The matters involve accounting and financial statement issues, including classification questions, revenue recognition, manipulation of reserves, questionable use of special purpose entities, and alleged aiding and abetting another issuer's false accounting; disclosure issues and the adequacy of SEC filings; irregularities in initial and secondary public offerings of securities; selective disclosures implicating Regulation FD; insider trading; trading irregularities in the Treasury securities market; market timing and late trading of mutual funds; broker/dealer sales practices, supervision issues and insider trading policies; auditor independence and malpractice issues; questionable foreign payments and books and records violations of the Foreign Corrupt Practices Act; and many other issues. Our attorneys also represent clients in a wide variety of CFTC investigations, including alleged market manipulation involving several energy markets, and alleged false reporting of transactions to manipulate index prices for natural gas.