Government Investigations & Enforcement Proceedings

Our lawyers serve as counsel in a broad array of federal, state and self-regulatory organization investigations and enforcement actions. They have substantial experience representing companies and their directors, officers, employees, and registered firms and individuals before federal and state oversight agencies.

Experience Matters

Our attorneys are experienced representing clients facing investigations and enforcement actions by the SEC, FINRA, and the Arizona Securities Division, the Department of Insurance, the Department of Financial Institutions, the Attorney General’s Office, and other federal and state agencies in Arizona and elsewhere. Representative matters handled by the team of Government Investigations and Enforcement Proceedings attorneys at Jennings Haug Keleher McLeod include:

  • Defense of Investigations Concerning Potential Violations of SEC and State Securities Statutes and Regulations
  • Defense of Investigations Concerning Potential Violations of FINRA Rules and FINRA Initiated Disciplinary Proceedings
  • Defense of Investigations Concerning Potential Violations of Securities, Insurance, Real Estate, Banking, Mortgage Banker and Broker Statutes and Regulations, and Agency Initiated Litigation and Proceedings
  • Defense of SEC Investigations, and SEC Initiated District Court Litigation and Administrative Proceedings
  • Defense of Agency Investigations and Proceedings to Deny, Suspend or Revoke Licenses and Registrations
  • Defense of Claw Back Actions by Agencies and Receivers

Independent Counsel & Representation

Paul Roshka has become a go-to source for law firms and companies in need of independent counsel to conduct internal investigations. And, when the need arises, Paul and the team of Jennings Haug Keleher McLeod Securities Litigators, who include Alana Porrazzo and T.J. Mitchell, provide separate representation for directors, officers and employees. 

Contact the Government Investigations and Enforcement Proceedings lawyers at Jennings Haug Keleher McLeod. We serve businesses and individuals throughout the state of Arizona and New Mexico.

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