Securities & Other Regulatory Enforcement

Conaway & Strickler, PC has extensive experience representing financial industry professionals accused of securities, commodities or banking violations in civil actions and in proceedings before the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Office of Foreign Assets Control, the Federal Reserve Board, the Office of the Comptroller of the Currency, the Office of Thrift Supervision, the Financial Industry Regulatory Authority, offices of state Attorneys General, and other regulatory bodies.

We have represented corporations, corporate executives, investment bankers, traders, brokers, investment advisers, portfolio managers, mutual fund managers, hedge funds and hedge fund managers, general counsels, auditors, compliance officers and back-office personnel in matters involving allegations of fraud, insider trading, market and benchmark manipulation, bid-rigging schemes, options backdating, improper practices in connection with the sale of various forms of securities (including municipal securities, auction-rate securities, mortgage-backed securities and derivative products), accounting irregularities, and breach of fiduciary and other duties.

Our deep experience in matters relating to the financial markets has given us exposure to a wide variety of primary and derivative financial instruments traded on domestic and foreign exchanges, as well as privately between and among market participants.

Recent Case Results

A real estate developer under federal investigation for bank and tax fraud: Dan conducted an internal compliance audit…
A Federal employee under federal investigation for Possession of Child Pornography – Dan conducted…
A corporate sales manager charged with wire and bank fraud from a fortune 500 company. The client took responsibility for his actions…
A company owner accused of being an active member of a mortgage fraud ring. Meg was able to work very closely with government…
An office manager accused of defrauding her company’s clients. Meg and Dan gained access to the government’s case…