—— INVESTIGATIONS ——
GOVERNMENTAL & REGULATORY INVESTIGATIONS
The Law Office of Thomas V. Sjoblom, PLLC represents companies, directors, officers, accountants, financial advisors, accounting firms, lawyers, and law firms in all phases of civil and criminal investigations by federal and state agencies, including Securities and Exchange Commission (SEC), Department of Justice (DOJ), Consumer Financial Protection Bureau (CFPB), Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB) inspector general offices, state attorneys general offices, and state securities regulatory agencies.
We conduct internal investigations and regularly advise special board committees, audit committees, and individual corporate directors on fiduciary responsibilities, financial reporting obligations, and corporate governance matters.
• Represented board of directors and outside counsel in options backdating case;
• Represented publicly traded companies with materially misleading SEC periodic reports;
• Represented major Wall Street firm in soft dollar and brokerage recapture practices;
• Represented registered investment advisor over undisclosed compensation issues;
• Represented U.S. promoter of international cryptocurrency and ICO;
• Represented CEO in backtesting hypothetical trades for hedge funds, undisclosed withdrawals and improper practices of fund administrators.