Former SEC Staff Members Providing the Insight You Need
Investigations conducted by the Securities and Exchange Commission are detailed and thorough. Officers, directors or others facing allegations of insider trading need a law firm that brings not only legal experience to the table, but also a unique point of view of the industry. Also, victims of financial fraud and bad trades due to an unethical broker or financial adviser require the same level of in-depth advocacy.
At the law office of Cooke Kobrick & Wu LLP, attorneys Christopher C. Cooke and Jeffrey W. Kobrick bring experience as partners in our firm and former enforcement attorneys with the SEC. That level of insight into how the SEC works is invaluable when reputations and hard-earned money are at stake.
Representative SEC Investigations and Securities Fraud Engagements
- Recently successfully completed representation of a hedge fund manager in an SEC enforcement investigation. The SEC staff closed the investigation without taking any action against our law firm’s client.
- Successfully represented several former employees of a public company in an SEC enforcement investigation concerning possible accounting improprieties. The SEC staff closed the investigation without taking any enforcement action against any of our clients.
- Currently representing a large, privately held employment-staffing firm in a shareholder class action lawsuit pending in the Contra Costa Superior Court concerning the client’s merger with a publicly traded firm. The case has preliminarily settled, pending court approval of the settlement.
- Currently representing three former officers in joint criminal and civil investigations conducted by the United States Attorney’s office, the Securities and Exchange Commission and other agencies concerning possible accounting fraud in connection with the collapse of a public corporation
- Currently representing former investors in a hedge fund that was part of the Madoff Ponzi scheme, in litigation pending in the San Mateo County Superior Court.
- Recently completed my representation of a former customer of an investment advisory firm in dispute with the firm and brokerage firm that settled during a mediation.
Representing plaintiffs and defendants in securities fraud claims provides us with a rare perspective on how the SEC establishes its cases and how to defend against SEC enforcement actions. Contact our firm at 650-917-8045. We have a San Jose-area office and a San Francisco-area office in the Silicon Valley to help you.
The Consequences of Securities Fraud
Accusations of securities fraud carry severe penalties for industry professionals. The allegation itself can quickly end a career. Conversely, unethical conduct involving account churning and bad trades can leave a financially stable individual struggling to make ends meet. For instance, we help victims of financial fraud who placed trust in ponzi schemes involving investments or foreign currency exchange. When investment advisors violate the trust of their clients, the clients’ losses can be devastating.
Advocacy for Both Brokers and Clients in Securities Fraud Claims
Whether you are a plaintiff or defendant in a securities fraud court case or arbitration, we will provide aggressive advocacy and fight for the best outcome for you. We also represent companies and individuals investigated by the Securities and Exchange Commission. At Cooke Kobrick & Wu LLP, we get to the facts of the case. While emotions may run high, evidence is key in prevailing with your claim or defense. The insight of our partners means that you have an added advantage before entering the courtroom or dealing with the SEC.
The firm handles:
- Responses to SEC investigations
- Defending clients in SEC investigations and enforcement actions
- Securities fraud civil suits
- Financial Industry Regulatory Authority (FINRA) arbitrations
- Obtaining recovery for clients defrauded by brokers
- Securities and commodities fraud cases
- Coordination with government authorities to recover lost investments