Stradley Ronon's Securities Enforcement Practice Group represents investment companies, investment advisers, broker-dealers, public companies and individuals in connection with inquiries, investigations and enforcement actions by the U.S. Securities and Exchange Commission, grand juries, state regulators and industry self-regulatory organizations. We are experienced in conducting internal investigations designed to advise and assist companies, boards of directors and board committees in preventing and addressing agency actions. We also counsel clients with respect to compliance with the federal and state securities laws and related rules.
Our Securities Enforcement attorneys have effectively represented clients in matters covering a wide range of issues arising out of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act, state securities laws and SEC, SRO and PCAOB rules. Some of our more recent experience includes matters involving allegations of:
- insider trading
- financial and accounting fraud
- reporting and disclosure violations
- improper revenue sharing
- failures to supervise
- inadequate disclosures concerning various conflicts of interest
Stradley Ronon’s Securities Enforcement Practice Group is led by Greg DiMeglio, a former senior counsel in the SEC’s Division of Enforcement. During nearly eight years with the SEC, Mr. DiMeglio was responsible for a number of significant enforcement investigations and actions involving financial and accounting fraud, reporting and disclosure violations, broker-dealer fraud and other violations of the federal securities laws. He received a Division of Enforcement Director’s Award for his work on a complex financial and accounting fraud investigation.