Craig has experience dealing with government investigation and enforcement matters with an emphasis on securities related matters. Craig has experience defending clients through all phases of regulatory and criminal proceedings.
SEC/State Securities Commissioners.
Craig has defended numerous entities and individuals before federal and state regulatory bodies, including the United States Securities and Exchange Commission, Georgia Securities Commissioner, National Association of Securities Dealers, New York Stock Exchange, and Financial Industry Regulatory Authority.
Craig has led and/or participated in numerous internal investigations. For instance, Craig represented a special committee of the Board of Directors of a biopharmaceutical company investigating the issuance of stock options. Craig interviewed key witnesses (including the CEO), reviewed documents, reported to the Board of Directors and advised on disclosure language for inclusion in the Company’s public filings.
Enforcement, Defense and Representation.
Craig also defends entities and individuals in criminal proceedings. For instance, Craig represented an investment advisor charged with numerous criminal violations pertaining to an investment program resulting in complete acquittal. Craig also represented this investment advisor in parallel regulatory proceedings with the Securities and Exchange Commission, an investigation by the Georgia Securities Commissioner, and secured dismissal of a class action filed by the alleged victims.