Securities Internal Investigations in Denver, Colorado
When navigating through a securities internal investigation, it is important to have seasoned attorneys, like Tenenbaum Law, on your side. As experienced business and securities counsel, we understand that every company is different. To meet the needs of our clients and their securities internal investigations matter, we build legal teams that are customized to effectively and efficiently address the issue at hand.
Internal investigations can be a highly sensitive issue for a corporation to discreetly handle while continuing normal business activities and operations. Many businesses find themselves facing an internal investigation when issues such as omission of information related to securities, selling unregistered securities, or mismanagement of funds are discovered. If not addressed properly, internal knowledge of insider trading, breach of fiduciary duty, theft of customer information, or improper accounting can leave a business vulnerable to an external SEC probe.
Denver Securities Attorney & Securities Internal Investigations Counsel
Thomas Tenenbaum, the founder of Tenenbaum Law, is a former SEC trial attorney. He brings four decades of experience in securities litigation to each internal investigation that the firm works on.
Our lawyers have worked closely with a variety of businesses and professionals and also those involved in the financial services industry including broker-dealers, investment businesses, and investment advisors. For many years, we have represented private entities as well as large public corporations in their internal investigations.
Securities Internal Investigation Strategy & Defense
An internal investigation can be initiated by the corporation itself or by an outside regulatory authority, such as the SEC. Many business savvy boards and management will initiate their own internal investigation, protected by attorney-client privilege. Internal investigations can be a useful tool in mitigating regulatory interest and reducing corporate exposure in situations of crisis. They are also a cooperative measure used to provide the regulatory authorities with the information they are requesting, oftentimes stopping the momentum of an investigation. The securities litigators of Tenenbaum Law regularly handle internal investigations initiated internally by a corporation or in response to inquiry from an outside federal or state regulatory authority.
Regardless of the origin of the investigation, our business professional, financial services, and corporate clients are relieved to know that they have chosen the right firm to provide a strategic and comprehensive securities defense firm for their company.
Effective and Efficient Securities Internal Investigation Legal Services
Tenenbaum Law provides a full spectrum of legal services to assist our financial services and corporate clients through an internal investigation. Our litigators work with in-house legal teams, accounting departments, and corporate executives as outside counsel to conduct all aspects of an internal investigation including interviews and document review. Our scope of work is different for every company and every situation, but generally includes:
- Expert Advice on Issues and Protocols
- Preservation of Evidence and Documents
- Tactical Legal Protection on Privileged Matters
Our attorneys are trained to work quickly to identify, isolate, and address the issue at hand oftentimes helping to lessen, and even stop, outside SEC or regulatory interest.
Tenenbaum Law provides expert guidance on how to protect your company, its corporate officers, investors, and its reputation, especially when issues related to public disclosure must be addressed.
Speak with one of our lawyers today about your Colorado securities internal investigation matter by calling (303) 919-1300.