SEC investigations can destroy reputations, result in the loss of a lucrative profession or, if the case goes criminal, result in long prison sentences. Experienced SEC defense counsel may greatly minimize those consequences.
The need for an experienced SEC Defense lawyer arises in a number of ways.
You get a telephone call from an SEC agent. (The best response is “I will talk to you only after my lawyer is available.”)
You get a letter or a subpoena from the SEC requesting either documents or testimony or both.
You learn from a friend or colleague that your company is being investigated in an area where you have involvement or knowledge.
Your broker calls to tell you that agents from the SEC or FBI have been inquiring about your trading or trading records.
Obviously, there are many other scenarios that might send you looking for SEC defense, or more frighteningly, white-collar criminal defense for a securities related crime. After all, an SEC enforcement investigation can deplete your savings, ruin your career and, if it goes criminal, can result in the loss of your freedom for draconian periods of time. Going it alone, without experienced counsel, even when you believe you have done nothing wrong, simply isn’t prudent. The risks of an unnecessarily harsh outcome are significant.
Niobrara County Courthouse, Lusk, Wyoming circa 1919. The motto above the door – “A Public Office is a Public Trust” applies equally to government employees like the SEC staff. SEC staff who may fail on occasion to take the “high road” may create defenses or settlement opportunities that might not otherwise exist.
Twenty-two years of experience prosecuting SEC cases from investigation through the conclusion of litigation gives Alex Rue an uncommon knowledge of potential weaknesses in SEC cases and special insight about how to defend against them. Mr. Rue has the ability to defend SEC and white-collar matters, regardless of size, either by himself or in affiliation with other experienced professionals as necessary. Mr. Rue has the ability to handle these matters in a more efficient and cost effective manner than the mega-law firms where Mr. Rue’s level experience is most often found. More importantly, Mr. Rue is truly independent handling only SEC and white-collar defense matters, unlike larger firms which may have conflicts due to large numbers of clients they serve in other areas.
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4060 Peachtree Road
Atlanta, GA 30319