Georgia SEC Defense Lawyers

Georgia SEC Defense Lawyers

When companies or individuals in Georgia find themselves under investigation by the Securities and Exchange Commission (SEC), they often seek experienced legal counsel to guide them through the process. SEC investigations can be complex and stressful, with serious potential consequences like financial penalties or even criminal charges. Hiring an attorney who specializes in SEC defense work can help maximize the chances of a favorable outcome.

There are a number of skilled SEC defense attorneys practicing in Georgia who regularly represent clients before the SEC. This article provides an overview of SEC defense work in Georgia, typical investigations, the role of defense lawyers, and how to choose the right counsel for your needs.

What is the SEC and What Does it Investigate in Georgia?

The SEC is an independent federal agency responsible for enforcing securities laws, proposing securities rules, and regulating the securities industry. The SEC aims to protect investors, maintain fair and orderly functioning of securities markets, and facilitate capital formation [1].

Some of the most common issues the SEC investigates in Georgia include[4]:

• Insider trading
• Accounting fraud
• Misleading or false public statements
• Ponzi schemes and other investment fraud
• Regulatory violations by investment advisors
• Corporate disclosure violations

The SEC has broad authority to investigate by issuing subpoenas, collecting evidence, interviewing witnesses, and more. Georgia corporations, brokerage firms, investment advisors, and other market participants must comply with SEC requests or face charges of obstruction.

Typical Stages of an SEC Investigation in Georgia

SEC investigations tend to follow several standard phases[4]:

Christine Twomey

2024-03-21

Just had my Divorce case settled 2 months ago after having a horrible experience with another firm. I couldn’t be happier with Claire Banks and Elizabeth Garvey with their outstanding professionalism in doing so with Spodek Law Group. Any time I needed questions answered they were always prompt in doing so with all my uncertainties after 30 yrs of marriage.I feel from the bottom of my heart you will NOT be disappointed with either one. Thanks a million.

Brendan huisman

2024-03-18

Alex Zhik contacted me almost immediately when I reached out to Spodek for a consultation and was able to effectively communicate the path forward/consequences of my legal issue. I immediately agreed to hire Alex for his services and did not regret my choice. He was able to cover my case in court (with 1 day notice) and not only was he able to push my case down, he carefully negotiated a dismissal of the charge altogether. I highly recommend Spodek, and more specifically, Alex Zhik for all of your legal issues. Thanks guys!

Guerline Menard

2024-03-18

Thanks again Spodek law firm, particularly Esq Claire Banks who stood right there with us up to the finish line. Attached photos taken right outside of the court building and the smile on our faces represented victory, a breath of fresh air and satisfaction. We are very happy that this is over and we can move on with our lives. Thanks Spodek law 🙏🏼🙏🏼🙏🏼🙏🏼🙌🏼❤️

Keisha Parris

2024-03-15

Believe every single review here about Alex Z!! From our initial consultation, it was evident that Alex possessed a profound understanding of criminal law and a fierce dedication to his clients rights. Throughout the entirety of my case, Alex exhibited unparalleled professionalism and unwavering commitment. What sets Alex apart is not only his legal expertise but also his genuine compassion for his clients. He took the time to thoroughly explain my case, alleviating any concerns I had along the way. His exact words were “I’m not worried about it”. His unwavering support and guidance were invaluable throughout the entire process. I am immensely grateful for Alex's exceptional legal representation and wholeheartedly recommend his services to anyone in need of a skilled criminal defense attorney. Alex Z is not just a lawyer; he is a beacon of hope for those navigating the complexities of the legal system. If you find yourself in need of a dedicated and competent legal advocate, look no further than Alex Z.

Taïko Beauty

2024-03-15

I don’t know where to start, I can write a novel about this firm, but one thing I will say is that having my best interest was their main priority since the beginning of my case which was back in Winter 2019. Miss Claire Banks, one of the best Attorneys in the firm represented me very well and was very professional, respectful, and truthful. Not once did she leave me in the dark, in fact she presented all options and routes that could possibly be considered for my case and she reinsured me that no matter what I decided to do, her and the team will have my back and that’s exactly what happened. Not only will I be liberated from this case, also, I will enjoy my freedom and continue to be a mother to my first born son and will have no restrictions with accomplishing my goals in life. Now that’s what I call victory!! I thank the Lord, My mother, Claire, and the Spodek team for standing by me and fighting with me. Words can’t describe how grateful I am to have the opportunity to work with this team. I’m very satisfied, very pleased with their performance, their hard work, and their diligence. Thank you team!

Anthony Williams

2024-03-12

Hey, how you guys doing? Good afternoon my name is Anthony Williams I just want to give a great shout out to the team of. Spodek law group. It is such a honor to use them and to use their assistance through this whole case from start to finish. They did everything that they said they was gonna do and if it ever comes down to it, if I ever have to use them again, hands-down they will be the first law office at the top of my list, thank you guys so much. It was a pleasure having you guys by my side so if you guys ever need them, do not hesitate to pick up the phone and give them a call.

Loveth Okpedo

2024-03-12

Very professional, very transparent, over all a great experience

Bee L

2024-02-28

Amazing experience with Spodek! Very professional lawyers who take your case seriously. They treated me with respect, were always available, and answered any and all questions. They were able to help me very successfully and removed a huge stress. Highly recommend.

divesh patel

2024-02-24

I can't recommend Alex Zhik and Spodek Law Firm highly enough for their exceptional legal representation and personal mentorship. From the moment I engaged their services in October 2022, Alex took the time to understand my case thoroughly and provided guidance every step of the way. Alex's dedication to my case went above and beyond my expectations. His expertise, attention to detail, and commitment to achieving the best possible outcome were evident throughout the entire process. He took the time to mentor me, ensuring I understood the legal complexities involved to make informed decisions. Alex is the kind of guy you would want to have a beer with and has made a meaningful impact on me. I also want to acknowledge Todd Spodek, the leader of the firm, who played a crucial role in my case. His leadership and support bolstered the efforts of Alex, and his involvement highlighted the firm's commitment to excellence. Thanks to Alex Zhik and Todd Spodek, I achieved the outcome I desired, and I am incredibly grateful for their professionalism, expertise, and genuine care. If you're in need of legal representation, look no further than this outstanding team.

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Google rating score: 4.9 of 5, based on 736 reviews

1. Informal inquiry – The SEC sends a voluntary request for information or documents. At this stage, the individuals or companies are not yet official targets.
2. Formal investigation – The SEC issues subpoenas to obtain testimony and records. Now the parties are considered official targets.
3. Wells notice – Parties are notified the SEC plans to bring charges and can argue why it shouldn’t.
4. Settlement or litigation – The SEC and defense lawyers negotiate a settlement or the case goes to federal court if no deal is reached.

Having an experienced SEC defense attorney during the early stages of an investigation can often help convince the SEC to close the case without charges. The later in the process, the harder it becomes to avoid penalties and sanctions.

The Role of an SEC Defense Attorney in Georgia

When facing an SEC investigation in Georgia, key ways a knowledgeable SEC defense lawyer can help include:

• Analyzing the case and potential defenses
• Negotiating with SEC investigators
• Preparing responses to subpoenas and requests
• Gathering evidence and documents
• Interviewing witnesses
• Avoiding mistakes during testimony
• Crafting Wells submissions to avoid charges
• Negotiating favorable settlements
• Going to court if necessary

Experienced SEC defense attorneys understand SEC rules and procedures and have relationships with SEC staff. They can navigate the complexities of these cases to build the strongest arguments on behalf of their clients.

Choosing the Right SEC Defense Attorney in Georgia

Not all defense lawyers have the same skills and track record when it comes to SEC cases. When selecting an SEC defense attorney in Georgia, important factors to consider include[5]:

• Experience handling SEC investigations and enforcement actions
• Knowledge of Georgia and SEC rules, regulations, and procedures
• Settlement negotiation skills and litigation experience
• Industry expertise related to your case
• Resources to handle complex cases and extensive discovery
• Success record achieving positive outcomes for clients

Don’t wait until you get a subpoena or Wells notice from the SEC to consult with a defense lawyer. Engaging experienced counsel at the first sign of an SEC investigation can make a major difference in the outcome. Be sure to vet attorneys thoroughly and find someone who instills confidence they can effectively protect your interests.

Prominent SEC Defense Attorneys in Georgia

Some of the most prominent SEC defense lawyers in Georgia include:

• • Stanley Kreimer, Jr. – Founding partner of Kreimer & Peters with over 25 years of securities litigation experience. Regularly represents public companies, broker-dealers, investment advisors, and officers & directors before the SEC .
  • William Sullivan – Partner at Polsinelli PC and former SEC enforcement attorney. Vast experience conducting internal investigations and representing clients in SEC enforcement actions .
  • Keith Blackwell – Securities litigation and enforcement partner at Troutman Pepper. Represents financial services firms and public companies in regulatory examinations, investigations, and enforcement actions [1]. He advises clients on responding to regulatory inquiries and investigations from agencies like the SEC, CFTC, FINRA, and state regulators. His experience includes handling matters related to financial and accounting fraud, insider trading, market manipulation, and disclosure issues.
  • Anthony Kaye – Counsel at Troutman Pepper who represents financial institutions facing government investigations and regulatory enforcement actions [5]. He has extensive experience advising clients on consumer protection issues and defending companies against allegations of unlawful or deceptive practices. Kaye also handles compliance matters related to consumer lending, debt collection, and mortgage servicing.
  • Mary Jo White – Senior chair at Debevoise & Plimpton and former SEC chair. She represents clients in SEC and other government enforcement actions, internal investigations, and corporate governance matters. White is renowned for her securities enforcement and regulatory expertise [2].

It takes an experienced SEC defense lawyer to navigate these complex cases and achieve the best possible outcome for clients facing SEC scrutiny. Be sure to thoroughly research an attorney’s background and seek referrals from trusted business contacts.

SEC Defense Strategies

There are various defense strategies skilled SEC lawyers may employ depending on the circumstances of each case, such as[7]:

• • • Attacking flaws in the SEC’s legal theory or investigation
    • Arguing the individual or company acted in good faith
    • Demonstrating no harm resulted from the alleged misconduct
    • Presenting evidence of compliance programs or preventative measures
    • Negotiating a favorable settlement agreement

An experienced SEC defense lawyer will thoroughly analyze the facts of the case, applicable laws and precedents, liability issues, and possible penalties to craft a defense strategy that gives the client the best chance of a positive resolution.

SEC Penalties

Some potential penalties in SEC enforcement actions include[6]:

• • • Fines based on ill-gotten gains or losses avoided
    • Disgorgement of improper profits
    • Censures and cease-and-desist orders
    • License suspensions or bars
    • Officer and director bars
    • Trading suspensions

Criminal prosecution by the Department of Justice is also possible for egregious cases. Skilled SEC defense lawyers will fight to avoid or minimize any penalties imposed on clients.