We successfully represented a company in a confidential Securities & Exchange Commission (SEC) investigation arising from a former employee’s complaint about allegedly improper accounting practices. After responding to document and information requests and participating with company officers in an in-person presentation to the SEC, we quickly secured a decision by the SEC to terminate the investigation and recommend no enforcement action.
Successful Defense of SEC Investigation into Alleged Improper Accounting Practices
Successful Defense of SEC Investigation into Alleged Improper Accounting Practices
We successfully represented a company in a confidential Securities & Exchange Commission (SEC) investigation arising from a former employee’s complaint about allegedly improper accounting practices. After responding to document and information requests and participating with company officers in an in-person presentation to the SEC, we quickly secured a decision by the SEC to terminate the investigation and recommend no enforcement action.