Representative Matters – Investigations

Partial list of matters handled by SGS attorneys either while at SGS or at a prior firm:

• Represented officer of oil and gas services company in connection with SEC investigation. Defending the same officer in an ongoing prosecution by the Department of Justice.

• Represented broker-dealer in SEC investigation into potential violation of anti-money laundering compliance obligations, including reporting of suspicious transactional activity.

• Conducted multiple internal investigations for board of directors and reported to SEC regarding accounting and financial reporting for domestic and international construction and public works projects carried out by public reporting engineering company.

• Represented engagement partner in connection with SEC and PCAOB investigations concerning quality of audit in light of restatement by publicly-held audit client.

• Represented in-house counsel in connection with SEC investigation concerning financial reporting of publicly-held clean energy company.

• Represented director/attorney in connection with SEC investigation concerning financial reporting of public-held nutritional supplements company.

• Conducted internal investigation on behalf of the audit committee of a publicly traded home manufacturing company into potentially improper securities trading by its CEO.

• Conducted internal investigation and reported to SEC regarding financial reporting and stock option practices of a publicly-held dairy company.

• Conducted internal investigation and reported to SEC and Department of Justice concerning financial reporting at publicly-held media company.

• Represented infomercial company in connection with investigations by the U.S. Federal Trade Commission and Colorado Attorney General.

• Represented public university in connection with grand jury report concerning football recruiting practices.

• Represented outside counsel to company in connection with SEC investigation concerning conduct related to restricted stock legends.

• Represented public manufacturing company in SEC investigation into wide range of financial reporting issues arising from company’s restatement.

• Represented consumer data company in multiple inquiries by the SEC, the DOJ, and the New York Attorney General’s office.

• Represented private equity firm in SEC investigation concerning conflict-of-interest disclosure and other issues.

• Represented chief compliance officer in SEC investigation concerning registered investment adviser's supervision of its representatives.