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Securities Fraud

Rosenberg Martin Greenberg is ideally positioned to assist witnesses and targets in the current wave of criminal investigations and SEC enforcement actions. The federal budget devotes significant resources to both criminal and civil securities law enforcement efforts through the agencies most involved in securities enforcement, including the FBI, the United States Attorneys’ Offices, and the SEC’s Enforcement Division.

Confronted with securities enforcement efforts, companies will have an increased need for experienced and aggressive legal representation not only for the corporate entity itself, but also for employees who become targets, subjects, or witnesses in the enforcement efforts. Even in what appears to be a routine SEC enforcement action, there exists significant potential for a parallel federal criminal proceeding or a state criminal proceeding. Our firm can help witnesses and potential defendants navigate both voluntary and mandatory information and document requests, as well as proffers and testimony before the SEC.

Throughout the SEC proceedings, the firm can draw upon its prosecutorial experience to best position clients to minimize or avoid the risk of a criminal case. The firm’s extensive experience with motions and appellate brief writing allows it to craft persuasive Wells submissions in cases where the Enforcement Division is prepared to recommend an enforcement action to the Commission. After the Wells process, if the SEC decides to proceed, we have the negotiating experience to reach a satisfactory resolution, if resolving the matter is in the best interest of the client.

Just as important, the firm is capable of aggressively defending clients in administrative or federal court proceedings. Based on its extensive federal trial experience, the government knows that the firm has the skills and capability to prevail before an ALJ, judge, or jury.

Attorneys Who Can Help

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If you are seeking counsel for a securities fraud related legal matter, contact a criminal defense lawyer at Rosenberg Martin Greenberg.

Contact a Criminal Defense Lawyer

Talk to a Criminal Defense Lawyer Today.

If you are seeking counsel for a criminal defense related legal matter, contact the Rosenberg Martin Greenberg defense attorneys.

Criminal Defense and Investigations News

Dec 17, 2021

Twenty Rosenberg Martin Greenberg Lawyers Honored by Maryland Super Lawyers® in 2022

Rosenberg Martin Greenberg is proud to announce that twenty of its attorneys have been selected for inclusion in the 2022 edition of Maryland Super Lawyers®. The firm’s attorneys who have been selected include Benjamin Rosenberg, Gerard Martin, Barry Greenberg, Gerard Gaeng, Andrew Baida, Louis Ebert, William Hallam, David Wyand, Caroline Hecker, Charles Curlett, Jr., Steven…

Nov 4, 2021

Rosenberg Martin Greenberg LLP Ranked in 22 Practice Areas in 2022 “Best Law Firms” List

Rosenberg Martin Greenberg LLP is pleased to announce that the firm has been ranked in the 2022U.S. News – Best Lawyers® “Best Law Firms” list nationally in 4 practice areas and regionally in 18 practice areas. Firms included in the 2022 “Best Law Firms” list are recognized for professional excellence with persistently impressive ratings from…

Oct 21, 2021

Caroline L. Hecker Named First Woman and Non-Founder to Serve As Managing Partner of Rosenberg Martin Greenberg, LLP

Rosenberg Martin Greenberg, LLP is pleased to announce that Caroline L. Hecker has been elected as the firm’s next Managing Partner. Caroline will assume the role effective January 3, 2022, becoming the third Managing Partner in the firm’s 34-year history and the first woman and non-founding member to hold the position. “Caroline is an extremely…