Government Investigations and Litigation

Track Record of Success

  • Access to leading attorneys with direct government experience at both the state and federal level;
  • Exceptional track record of managing investigations resulting in regulators not filing charges;
  • Skilled in handling the most sensitive and the most complex cases.

Exceptional Team with Extensive Experience

Rogers & Hardin's Government Investigations and Litigation practice group gives clients the benefit of an exceptional team of lawyers with extensive experience in government investigations and enforcement actions. It includes a former Branch Chief for the SEC’s Enforcement Division with over a decade of experience representing clients in complex government fraud investigations and litigation, both civil and criminal, and other nationally recognized attorneys with decades of experience representing businesses and individuals in high-stakes government investigations and litigation. The team also includes members of the American College of Trial Lawyers, an honor reserved for the top 1% of lawyers.

Our team’s extensive knowledge of how the government investigates and prosecutes a case along with our litigation prowess allows us to offer our clients insight and skill, a combination typically only found in "big-law" firms.  Further, our lawyers take pride in helping companies and individuals avoid problems before they arise by working with them to strengthen safeguards and compliance procedures to reduce exposure in areas of heightened scrutiny.  Whether during an initial consult, providing assistance in responding to an inquiry or fully litigating a matter, the attorneys in our practice are fully equipped to vigorously represent companies and individuals involved in civil, criminal or administrative actions.

Antitrust

We represent companies in civil and criminal antitrust matters. We practice in federal courts and before regulatory agencies, and we provide ongoing counseling to help clients ensure that their business practices are in compliance with the federal antitrust laws. Our practice is national in scope with direct experience across a wide variety of industries and markets, including transportation, construction, sports and entertainment, distribution, healthcare, carpet, insurance, technology, and metal products.  This experience provides our lawyers an advantage in getting up to speed quickly on a clients’ business, the industries within which they operate, and the effect that antitrust issues has on their larger strategic objectives. Our representations have ranged from large, complex class actions to single-plaintiff lawsuits.  Leading this practice are lawyers who are well credentialed and experienced:  they have been recognized by their peers and by leading publications such as Chambers, Best Lawyers and Super Lawyers as leaders in the antitrust field.

SEC, DOJ, FINRA, FDIC, and Federal Reserve Investigations

Rogers & Hardin attorneys have significant experience representing firms and individuals in numerous investigations conducted by the SEC, DOJ, FINRA, other securities industry self-regulatory organizations, and state securities regulators. We represent clients at each stage of the investigatory process: responding to informal inquiries and document requests, preparing for and providing on-the-record testimony, preparation and submission of the "Wells" response, and, if necessary, trying any resulting litigation.

We have represented many executives and board members in connection with government investigations, including chief executive officers, chief financial officers, chief operating officers, general counsel, and chief accounting officers of NYSE, NASDAQ, and other listed companies spanning a variety of industries. Our Firm's special depth of experience in the financial services sector is the result of decades spent representing clients across the entire financial services sector:  broker-dealers, investment advisers, banks and bank holding companies and their supervisors and registered representatives, and other regulated and non-regulated entities.  More information can be found at our Broker-Dealer Dispute Resolution Services page.

Representative Matters

•Representation of corporate officer of national homebuilding company in securities class action and derivative cases, SEC litigation, and governmental investigation.
•Representation of public nursing home company in connection with internal investigation involving False Claims Act and Medicaid issues.
•Representation of corporate officer and general counsel of software company in securities class actions and opt-out litigation, SEC investigation and litigation and federal criminal proceedings.
•Representation of manufacturer of fiberglass insulation products in antitrust class actions.
•Representation of public nursing home company in securities class action.
•Representation of national stock car racing association in antitrust class action.
•Representation of professional medical association in antitrust litigation.
•Representation of manufacturer of painted aluminum products in antitrust investigation and class action.
•Representation of special committee of board of directors of software company in stock options backdating investigation.
•Representations, in three stock option investigations, of chief accounting officers and board members.
•Representation of specialty steel pipe manufacturer in antitrust class action.
•Representation of Chairman & CEO of public nursing home company in criminal prosecution for Medicare fraud.
•Representation of officer of medical software company in federal kickback investigation.
•Representation of numerous corporate officers in insider trading investigation.
•Representation of CFO of medical software company in SEC investigation and securities class action.
•Representation of President & COO of public jewelry retailer in SEC investigation and securities class action.
•Representation of Chairman and CEO of public real estate and construction company in internal investigation, SEC investigation and securities class action.
•Representation of the CEO of a public company in an SEC enforcement action filed in federal district court alleging false public disclosures. SEC v. Stinger Systems, Inc. (1:08-cv-00294-WBH). Obtained dismissal of all charges after SEC rested its case.
•Representation of SEC-registered investment adviser managing over $1 billion in assets in SEC investigation into the valuation of adviser's alternative assets.
•Representation of executive officer of an NYSE company in SEC insider trading investigation related to earnings announcement. After receiving Wells notice, persuaded the SEC staff not to pursue charges.
•Representation of four managers at a top-five investment bank during investigations conducted by the SEC and NYSE into mutual fund market timing by hedge funds. After receiving Wells notice, persuaded regulators not to pursue charges.
•Representation SEC-registered investment adviser in response to deficiency letter issued by SEC examination staff.
•Represented president of NASDAQ company in audit committee and joint DOJ / SEC investigation into credit reporting and earnings smoothing. No action filed.
•Represented bank broker-dealer in connection with FINRA investigation into allegations of excessive trading.
•Conducted an internal accounting investigation on behalf of the Audit Committee of a government-run hospital.
•Represented corporate executive of NASDAQ company in audit committee and SEC investigation into vendor allowances and revenue recognition. No action filed.
•Represented chief accounting officer of NYSE company in audit committee and joint DOJ / SEC investigation into accounting for vendor rebates. No action filed.
•Represented former chief financial officer of Fortune 100 company in audit committee and SEC investigation into stock options backdating. No action filed.
•Representation of numerous directors, chief executive officers, chief financial officers, other executives, traders, and other individuals in insider trading and financial fraud investigations conducted by the SEC in which no actions were filed.