SEC · FTC · CFTC Defense
Walter J. Mathews spent four years as Senior Counsel at the SEC Division of Enforcement, Southeast Regional Office. He has sat on both sides of this table — and that makes all the difference when you are facing a federal investigation.
The difference
From 2002 to 2006, Walter Mathews served as Senior Counsel at the U.S. Securities and Exchange Commission, Division of Enforcement, Southeast Regional Office. He investigated and prosecuted securities fraud cases on behalf of the federal government.
That experience is irreplaceable when you are on the receiving end of an SEC investigation. Mr. Mathews knows what triggers investigations, what evidence regulators find compelling, how enforcement decisions are made, and where cases can be resolved short of formal action.
Very few private attorneys — and almost no plaintiff-side securities lawyers — have this depth of federal enforcement experience. It is Walter Mathews' most significant credential, and it directly benefits every client facing regulatory scrutiny.
What we handle
Representing individuals and firms targeted by SEC Division of Enforcement investigations. Formal and informal inquiries, document subpoenas, and investigative testimony.
Preparing Wells Submissions in response to SEC notices of intent to recommend enforcement action. Critical opportunity to present your case before charges are filed.
Defending against civil enforcement actions brought by the SEC in federal court or administrative proceedings. Injunctions, disgorgement, civil penalties, and bars.
Defense against Federal Trade Commission investigations and enforcement actions involving fraud, deceptive practices, and consumer protection violations.
Defense against Commodity Futures Trading Commission investigations and enforcement actions involving commodity trading, derivatives, and futures misconduct.
When SEC or FTC investigations lead to parallel criminal actions by the DOJ or FBI. Coordinating civil and criminal defense strategy to protect your interests.
Common questions
Do not respond without an attorney. An SEC subpoena is a serious matter — it means the government is investigating you or someone close to you. Contact Walter Mathews immediately. As a former SEC Senior Counsel, he understands exactly what the subpoena means and what your next steps should be.
An informal inquiry means the SEC is gathering information without formal investigative authority. A formal investigation means the SEC has obtained an order authorizing compulsory process — subpoenas, depositions, and document production. Both require immediate legal counsel.
Yes. SEC civil investigations frequently run parallel to federal criminal investigations by the DOJ and FBI. Walter Mathews has experience navigating parallel civil and criminal proceedings and communicating with federal prosecutors on behalf of witnesses, targets, and persons of interest.
A Wells Notice is the SEC's formal notification that it intends to recommend enforcement action against you. You have the right to respond with a Wells Submission — a critical opportunity to potentially avoid charges. This is where having former SEC counsel is most valuable.
SEC investigations can last anywhere from months to several years. Early intervention by experienced counsel can sometimes resolve matters before formal charges are filed. The sooner you retain counsel, the better your position.
Facing an SEC investigation?
Call immediately. Early intervention makes a critical difference.
(954) 463-1929