Securities Enforcement Defense
At Anderson P.C., led by Principal Attorney Braeden Anderson, we offer unparalleled representation in high-stakes securities enforcement matters. Braeden personally defends clients facing investigations initiated by the U.S. Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), and other federal and state regulators. With his hands-on approach, Braeden ensures each client benefits from his deep expertise and strategic insight, particularly in navigating complex regulatory environments and protecting their business interests.We bring extensive experience and industry knowledge to defending clients in high-stakes regulatory investigations. Our team regularly represents companies, financial institutions, and individuals in enforcement actions brought by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), and other federal, state, and self-regulatory organizations.
Direct, Expert Defense
Braeden’s extensive experience in defending public companies, senior executives, broker-dealers, financial services professionals, and investment advisers positions Anderson P.C. as a trusted partner in the most sensitive regulatory matters. Braeden also leads internal investigations for public company boards, audit committees, and special committees, with a focus on financial reporting, disclosure, and compliance.
Our firm's boutique structure allows Braeden to personally manage each matter, from investigation through resolution, offering clients the focused, strategic counsel they need in these challenging situations.
Handling Investigations with Precision
We routinely conduct internal investigations for clients to evaluate potential regulatory exposure, uncover key facts, and assess compliance weaknesses. In doing so, we help our clients position themselves to respond effectively to regulatory scrutiny, taking any necessary remedial or disciplinary actions. Our ability to guide clients through these complex processes ensures that they are well-prepared to face inquiries from U.S. regulators or law enforcement agencies.
Representative Matters
Public Company Securities Fraud Allegation: Defended a major public company in an SEC and DOJ investigation concerning allegations of securities fraud involving fraudulent financial practices and related party transactions.
Internal Embezzlement Investigation for an NFL Team: Conducted a comprehensive internal investigation into a significant embezzlement scheme within a prominent NFL team, implementing corrective measures and advising on compliance controls.
DOJ Investigation into Bank Lending Practices: Guided a regional bank through a DOJ investigation into its lending practices, ensuring full regulatory compliance and addressing potential violations.
Congressional Inquiry into NFL Business Practices: Coordinated a congressional investigation into business practices within a major professional football league, providing transparency and legal guidance to legislative committees.
Municipal Securities Trading SEC Investigation: Represented a global financial institution in an SEC investigation into municipal securities trading practices, focusing on regulatory compliance and mitigating potential enforcement actions.
Internal Offshore Reinsurance Investigation: Led an internal investigation into the disclosure practices and offshore reinsurance activities of a multinational corporation, assessing international regulatory compliance.
Joint SEC-FINRA Inquiry into Market Volatility: Defended a Wall Street bank in a joint SEC and FINRA investigation regarding its trading practices during a period of market volatility, coordinating a strategic response to multiple regulators.
SEC Inquiry into Insider Trading: Successfully handled an SEC inquiry into insider trading allegations involving a large financial institution, implementing a comprehensive risk mitigation strategy while engaging with regulators.
If you are facing regulatory scrutiny or need proactive securities enforcement counseling, contact us today to learn how Anderson P.C. can provide the guidance and defense you need.
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