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Oregon SEC Defense Lawyers

Oregon SEC Defense Lawyers

If your business or clients are under investigation by the Securities and Exchange Commission (SEC), you need experienced legal representation. SEC investigations can be complex and stressful. An experienced Oregon SEC defense lawyer can help guide you through the process and protect your rights.

This article provides an overview of SEC investigations in Oregon, common charges, and how an experienced SEC defense attorney can assist. We’ll also highlight key considerations in choosing the right lawyer for your case.

What is the SEC?

The SEC is a federal agency that enforces laws related to the securities industry. Their mission is to protect investors, maintain fair and orderly markets, and facilitate capital formation [1]. Some key responsibilities include:

  • Overseeing key participants in the securities world like stock exchanges, broker-dealers, investment advisors, and mutual funds
  • Promoting disclosure of important information to the investing public
  • Bringing civil enforcement actions against individuals or companies for securities law violations

Common SEC violations investigated in Oregon include insider trading, accounting fraud, and Ponzi schemes. But even technical violations can trigger an SEC investigation that turns into a lengthy and expensive process.

SEC Investigations in Oregon

The SEC has broad authority to investigate possible securities law violations. Investigations can start in many ways – routine examinations, investor tips, media reports, referrals from other agencies, etc. You may receive a subpoena for documents or testimony without any warning.

In Oregon and across the country, SEC investigations follow a typical pattern:

  1. Informal inquiry – The SEC sends a request for voluntary cooperation looking for information.
  2. Formal investigation – The SEC issues a formal order of investigation allowing staff to subpoena documents and take testimony.
  3. Wells notice – This indicates the SEC staff intends to recommend enforcement action. At this point, your lawyer can make a Wells submission to try and convince the SEC not to proceed.
  4. SEC enforcement action – The SEC can bring a civil complaint in federal court or institute an administrative proceeding.

An SEC investigation can go on for years before any formal action is taken. Your lawyer’s job is to present facts and legal arguments to try and convince the SEC not to pursue an enforcement action. But if one does proceed, your legal counsel plays a crucial role resolving the case through settlement or litigation.

Christine Twomey
Christine Twomey
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
Brendan huisman
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
Guerline Menard
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
Keisha Parris
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
Taïko Beauty
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
Anthony Williams
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
Loveth Okpedo
Very professional, very transparent, over all a great experience
Bee L
Bee L
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
divesh patel
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.

Common SEC Violations

Some of the most common SEC investigations and enforcement actions in Oregon involve:

Insider Trading

This involves buying or selling securities based on material non-public information in breach of a duty. For example, a corporate executive trades their company’s stock based on inside knowledge of an upcoming merger. Or a friend makes trades based on a tip from the executive. Insider trading cases often involve circumstantial evidence requiring careful legal arguments in response. See, for example, the 2016 case SEC v. Hawk [2].

Accounting Fraud

This involves knowingly falsifying financial statements and records to mislead investors. Cases typically allege improper revenue recognition, overstating assets, and understating liabilities. Violations can lead to criminal charges. For example, the SEC charged the auditing firm Deloitte & Touche in 2002 for role in Adelphia’s massive accounting fraud [3].

Ponzi Schemes

This classic fraud involves paying returns to investors from their own money or money from subsequent investors rather than actual profits. Many recent Ponzi cases involve affinity fraud preying on church or ethnic communities. In 2016, an Oregon man got over 10 years in prison for a gold mining Ponzi scheme taking in nearly $4 million [4].

Benefits of an Oregon SEC Defense Attorney

An experienced SEC defense lawyer can provide invaluable assistance if your business or clients face SEC scrutiny. Key benefits include:

  • Guidance on Responding to Subpoenas – Your lawyer can ensure you meet obligations to preserve documents while also protecting sensitive information through privilege and confidentiality.
  • Coordination of Testimony – This ensures a consistent narrative across multiple witnesses during SEC interviews.
  • Avoiding Admissions – Testimony must be carefully prepared to avoid unintended admissions that could support charges.
  • Context for Document Review – Your lawyer helps put documents in proper context to avoid creating a misleading impression.
  • Advocacy with SEC Staff – Experienced counsel can present facts and legal arguments to convince the SEC not to pursue charges.
  • Settlement Negotiations – If charges do result, skilled negotiators can often secure a favorable settlement.
  • Litigation Capabilities – For cases that can’t settle, seasoned trial attorneys can vigorously defend charges in federal court or administrative proceedings.

Having an SEC defense lawyer with the right skills can thus make a major difference in the outcome of an investigation. Choosing the right counsel is key.

Choosing an Oregon SEC Defense Attorney

Here are key factors to consider when selecting legal representation for an SEC investigation:

    • SEC Defense Focus – Look for attorneys with extensive experience specifically handling SEC probes and enforcement actions.
    • Local Reputation and Expertise – Opt for counsel who routinely deal with the local SEC office and enforcement staff.
    • Subject Matter Expertise – Seek out lawyers with extensive experience dealing specifically with the types of allegations involved in your case, whether accounting fraud, insider trading, Ponzi schemes, etc.
    • Litigation Track Record – Look for attorneys with a proven history of success litigating SEC enforcement actions through trial and appeals if necessary.
    • Negotiation Skills – For cases that may be appropriate to settle, choose counsel who can negotiate firmly and favorably with SEC staff attorneys.
    • Commitment and Resources – The top SEC defense firms will have the staffing and staying power to zealously represent you through even the most complex, lengthy investigations.
    • Communication Skills – Opt for lawyers who will keep you informed in a timely manner at each stage of the investigation.
    • Cost Structure – Discuss billing and fee arrangements upfront so there are no surprises. Options like flat fees or blended rates for teams can provide cost controls.
    • Compatibility – Make sure you choose a lawyer and firm with the right fit in terms of personality, values, and working style.

Vetting and selecting the right SEC defense counsel takes time and diligence. But it’s one of the most important investments you can make if facing SEC scrutiny. An experienced SEC attorney has the skills and knowledge to navigate you through the process and achieve the best possible outcome.

Key resources for finding top SEC defense lawyers in Oregon include:

      • Oregon State Bar Association lawyer referral services [1]
      • Recommendations from trusted business contacts [2]
      • Lawyer directories and legal rating services [3]
      • Online research on law firm and attorney SEC experience [4]
      • State bar association resources on finding and vetting counsel [5]
      • Consultations with prospective SEC defense firms [6]

Taking the time to thoroughly vet and find the right SEC defense lawyer can help ensure your legal rights are protected. Reach out to top-rated Oregon counsel as early as possible in an SEC investigation.

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