SEC Defense Attorneys | McDermott SEC Enforcement Group

SEC Enforcement Defense


Securities litigation remains an ongoing threat to businesses and financial institutions. McDermott’s SEC Enforcement group is composed of lawyers – including former senior members of the US Securities and Exchange Commission (SEC) Division of Enforcement – who possess substantial experience covering the full spectrum of securities enforcement activity. Our lawyers are knowledgeable about the SEC as an agency, including its rules, practices and customs, and maintain excellent relations with staff of the Enforcement Division and Office of General Counsel.

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  • John P. Flannery, the former chief investment officer of State Street Global Advisors, with complete exoneration of all charges brought by the SEC, alleging a host of violations arising from communications to investors during the subprime mortgage crisis.
  • A global health care manufacturer with its internal investigations overseas regarding issues of potential violations of the FCPA and UK Bribery Act, following a subpoena from the SEC.
  • An affiliated investment adviser, broker-dealer and the CEO and controlling shareholder in an SEC investigation and five related private civil actions arising from allegations of the misappropriation of client assets by a registered representative of the broker-dealer. McDermott developed a strategy for managing the SEC investigation and the civil litigation, all of which were able to resolve successfully, allowing the companies to remain in business.

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