Securities Litigation & Enforcement

Schertler Onorato Mead & Sears has represented individuals and entities in numerous securities enforcement matters and has successfully defended clients at trial in civil and criminal actions brought under the securities laws. As some examples of these trial victories, the firm achieved an acquittal of a securities lawyer in a multi-defendant conspiracy and fraud prosecution in federal court in North Carolina and successfully defended a business executive in a federal civil case brought by the Securities and Exchange Commission for alleged violations of the securities laws. We also regularly provide advice to corporate officers, directors, and entities concerning securities compliance issues and have conducted internal corporate investigations to assist corporate clients in these matters.

In representations involving active investigations by the Department of Justice, the Securities and Exchange Commission, and other oversight bodies, we have extensive experience in assisting clients to navigate that process, negotiating satisfactory resolutions, and litigating the matters in the court system.