Overview
SEC enforcement consulting addresses investigations and litigation involving alleged violations of federal securities laws, including fraud, insider trading, registration failures, and broker-dealer misconduct. MDT Expert Consulting provides access to former SEC staff attorneys, compliance officers, and securities industry specialists who evaluate whether the conduct at issue violated applicable securities regulations in SEC investigations, civil enforcement actions, and private securities litigation.
Pre-Litigation Support
Before litigation or in response to SEC investigation, securities enforcement experts help counsel assess the factual and legal basis for potential violations. They review trading records, communications, disclosure documents, and compliance files to evaluate whether the conduct at issue constitutes a cognizable securities violation.
Litigation Support
In litigation, SEC enforcement experts assist in evaluating the adequacy of disclosure practices, assessing whether trading conduct was consistent with applicable regulations, and providing context for the regulatory standards applicable to the conduct at issue.
Arbitration Support
SEC enforcement experts address securities industry disputes in FINRA arbitration and other alternative dispute resolution settings, including customer claims, registered representative disputes, and broker-dealer internal matters.