Securities Enforcement
Our attorneys work to provide our clients effective representation throughout all stages of securities enforcement, from inquiry to resolution. We have worked to build relationships of mutual respect with securities regulators and pride ourselves on our ability to convince the SEC either not to take action or to reduce the nature and scope of the charges. We have defended clients in investigations, enforcement proceedings, and examinations by the SEC, DOJ, Federal Bureau of Investigation (FBI), Financial Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), stock exchanges, and state securities enforcement agencies. Additionally, Jackson Walker offers the guidance of several former, management-level Assistant U.S. Attorneys who supervised and tried white collar matters for almost ten years.
Jackson Walker Secures Dismissal of Oil and Gas Investment Fraud Case
Erica Benites Giese and Michael Murtha defended a high-stakes securities fraud case brought by the Texas State Securities Board. On June 27, 2024, the 199th District Court in Collin County granted Jackson Walker’s motion to dismiss the indictment with prejudice, effectively ending the case in favor of their client.
Client Results • August 1, 2024
Jackson Walker Secures Dismissal of All Securities Fraud Charges Against Mitchell Hennessey
On Wednesday, March 20, U.S. District Judge Andrew S. Hanen dismissed all charges against Jackson Walker client Mitchell Hennessey and co-defendants, ruling that the government failed to state an offense in a case alleging securities fraud.
Client Results • March 21, 2024
SEC Division of Corporation Finance Updates Compliance & Disclosure Interpretations
By Alex Frutos and Noah Speck
On January 23, 2026 and on February 11, 2026, the SEC’s Division of Corporation Finance updated its Compliance and Disclosure Interpretations (“C&DIs”) by adding new questions and responses, revising some responses and withdrawing others.
Insights • February 24, 2026
DOJ Officials Announce New Priorities to Combat Corporate Crime with Additional Details Provided at Government Enforcement Conference in Dallas
By Jennifer Freel, Erica Giese, and Bethany R. Pickett
On September 15, 2022, Deputy Attorney General Lisa A. Monaco outlined new steps the Department of Justice will be taking in its ongoing efforts to police corporate crime. The next day, Assistant Attorney General Kenneth Polite and Deputy Assistant Attorney General Lisa Miller discussed the new policy at the University of Texas School of Law’s Government Enforcement Institute—a two-day conference held in Dallas, Texas. This article covers key areas Department of Justice officials will focus their efforts in the coming months.
Insights • September 22, 2022
