Overview
When the SEC, FCA, or BaFin opens an investigation, the next 30 days matter most. Our partners have defended investigations, Wells notices, subpoenas, and contested enforcement actions across all three jurisdictions.
What We Do
- SEC subpoena and Wells response
- FCA Section 165/166 reviews
- Investigation strategy and witness preparation
- Settlement negotiation
- Parallel proceedings (DOJ, state AG)
- Industry bar defense
Why Benson Legal
Our partners have advised on offerings ranging from $250K friends-and-family rounds to $500M+ institutional placements. We bring senior judgment to every engagement — not associate-level work with a partner's letterhead.