SEC Receivership Lawyers

Experienced Counsel in SEC Receivership Proceedings

At Dimond Kaplan & Rothstein, our attorneys have served as Securities and Exchange Commission (SEC) receivers and counsel to receivers in SEC enforcement actions. We are ready to serve in any capacity in SEC receiverships, including as counsel to investors, fraud victims, or creditors of the receivership estate. For more information about our law firm’s experience with SEC receivership, contact either of our South Florida offices in Miami or West Palm Beach.

Receivership is a somewhat drastic remedy that is available when courts find that the interests of investors, creditors or the general public would best be served if someone else were appointed to manage the affairs of a company that has been dishonestly or irresponsibly managed. Several federal agencies, including the SEC, are authorized to request the appointment of a receiver upon discovery of a violation and when the intervention of a receiver will be necessary to preserve or recover assets, identify the scale of investor losses, or even make sense of the company’s finances and records.

Most SEC receiverships result from widespread fraud or other criminal activity a business, most often ones that provide financial services. The lawyers of Dimond Kaplan & Rothstein can act as receiver under a general or limited appointment, act as legal counsel to the receiver, or represent other parties with an interest in the receivership estate.

Among the functions we can discharge are the following:

  • Negotiation, documentation and enforcement of consent decrees
  • Identification and location of receivership assets
  • Recovery of fraudulently transferred assets
  • Develop a fair system for evaluating and meeting investor and creditor claims
  • Presenting investor or creditor claims against the receivership estate
  • Moving for termination or modification of the receivership

SEC receivership can be a valuable tool for containing the damage resulting from pyramid or Ponzi schemes and other fraudulent investment practices. But the fact of a receivership by itself will not make a defrauded investor whole, or guarantee that a pillaged corporation’s assets will ever be restored. Our attorneys’ vigilant participation throughout all stages of receivership proceedings can help ensure that the interests of victimized investors or creditors will be protected to the greatest practicable extent.

For additional information about our law firm’s experience with SEC receivership and other enforcement actions, call to speak with an experienced attorney  at Dimond Kaplan & Rothstein today at 888-578-6255.


EN   ES   PT     

Miami Office
Grand Bay Plaza
2665 S. Bayshore Drive
Penthouse 2B
Miami, FL 33133
Telephone: 305-374-1920

Los Angeles Office
Available by Appointment
2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
Telephone: 424-202-3656

New York City Office
Available by Appointment
14 Wall St, 20th Floor
New York, NY 10005
Telephone: 212-618-1399

West Palm Beach Office
Northbridge Centre
515 N. Flagler Drive, Suite P-300
West Palm Beach, FL 33401
Telephone: 561-671-1920

Detroit Office
41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248-572-1120