In the News

Kit Addleman in Inside Counsel: Full Disclosure

It's been more than a decade since a series of scandals involving companies like WorldCom and Enron made headlines, exposing levels of financial fraud that startled most Americans and put federal regulators into a state of high alert. >>



Recent Publications

The SEC Continues its “Broken Windows” Initiative with Charges of Late Filings of Ownership Reporting and Rule 105 Violations

In the last week, the Securities and Exchange Commission has announced charges in two separate investigations related to its “Broken Windows” initiative, signaling that the Commission’s focus on what some may characterize as “minor violations” will continue. >>

Fourth Circuit Holds that Criminal Enforcement of Rule 10b-5 Violation is not Limited to “Makers” of Statements

On May 7, the Fourth Circuit held that the Supreme Court’s decision in Janus Capital Group, Inc. v. First Derivative Traders, 131 S. Ct. 2296 (2011), did not apply in the context of a criminal prosecution for a violation of Rule 10b-5. >>





SEC Enforcement


There is no time to spare when the SEC’s Division of Enforcement turns its attention your way. Your company needs experienced counsel to help navigate the SEC investigatory process. Our clients can rest assured: Haynes and Boone’s lawyers have a broad base of experience in defending SEC enforcement actions and investigations ranging from inquiries into accounting practices or options backdating, to allegations of insider trading and related party transactions. Our defense experience is complemented by the "insider" perspective offered by a number of our partners, who are veterans of key positions at the SEC and other governmental entities. Because of our unparalleled experience, Haynes and Boone has had the opportunity to represent public and private companies, financial service firms, and senior executives and board members in some of the most significant SEC investigations in recent years.

Our goal is to have investigations close without an enforcement action filed. For this reason, a number of our most significant representations have received no publicity. However, if litigation should arise, we combine our trial experience and unparalleled resources to expertly handle these cases. Our cross-discipline approach provides clients with access to securities, antitrust, white collar criminal defense, and other highly specialized attorneys. If the investigations are not closed, we spare no effort to obtain a favorable result for our clients.