SEC Investigations / Accounting & Securities Fraud

DEFENDING ACCOUNTING FIRM PARTNERS DURING INVESTIGATIONS

The U.S. Securities and Exchange Commission (SEC) is a federal agency that enforces the securities laws including the registration and anti-fraud provisions of the Securities Act 1933 and the Securities Exchange Act of 1934. The SEC has broad investigative and enforcement authority and its procedures are often lengthy and complicated. Sworn testimony and extensive document production are common aspects of its enforcement practices.

The SEC Investigations / Accounting & Securities Fraud team at Golan Christie Taglia represents and defends partners at major accounting firms in connection with regulatory audits and investigations. The team is led by Steven J Rosenberg, who once served as Enforcement Attorney for the US Securities and Exchange Commission. He fully understands the ins and outs of both sides of any investigation and has handled nearly thirty cases defending accounting firm partners.

We offer a broad, extensive background representing clients who are the subject of investigations both as targets and witnesses. The diverse range of SEC and fraud matters we’ve handled include:

  • Software revenue recognition
  • Improper depreciation issues
  • Fraudulent financial statements
  • Channel stuffing
  • Improper capitalization of expenses

Golan Christie Taglia prides itself on taking a commonsense approach to develop practical solutions for every client we serve. We bring a balance of perspective and proportion to each case, focusing on delivering the most cost-effective approach to achieving a successful outcome.

SEC Investigations / Accounting & Securities Fraud Team

STEVEN J. ROSENBERG