Outside General Counsel Services

Raising Capital

Reg D / Private Placements

Complex Transactions

Corporate Filings

Strategic Advising

Crisis Response

Business Disputes

Government Relations

Investor Relations

BUSINESS ADVISORY SERVICES

Our SEC enforcement and government investigations practice gives us valuable insight into the mindset and strategies of state and federal regulators.  We see the many ways in which individuals and businesses can get ensnared in costly investigations.  This puts us in a stronger position to advise businesses proactively on how best to implement policies and procedures that will result in actual, rubber-hits-the-road compliance.  This is further reinforced by our business advisory services practice, which keeps us in-tune and up-to-date with the many challenges businesses are dealing with – from capital raising to corporate governance to complex transactions, investor relations, data and cyber security, and other structural and operational demands.  We then pour that business knowledge back into our government investigations practice, resulting in better, more tailored strategies and solutions for our clients.

SEC Enforcement Actions

Internal Investigations

State & Federal Regulators

Whistle-Blower Complaints

Dept. of Justice / FBI

Federal Trade Commission

FINRA

Consumer Financial Protection Bureau

Congressional Inquiries

Crisis Management and Response

Practice Areas 

HOUGENLAW

REGULATORY COMPLIANCE

GoverNMENT INVESTIGATIONS


Risk Analysis & Compliance Audits

Foreign Corrupt Practices Act (FCPA)

Data & Cyber Security

Corporate Governance


Whistle-Blower Policies


Government Contracting


PATRIOT Act

Office of Foreign Asset Control (OFAC)

Anti-Fraud / Anti-Money Laundering

Broker-Dealers & Investment Advisors