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Accounting Firms

Our attorneys bring decades of experience defending auditors and accounting firms facing regulatory investigations and professional liability claims. We have represented "Big 4" and other public accounting firms, their partners and other professionals in (i) SEC and other federal agency investigations and enforcement proceedings; (ii) investigations and professional disciplinary proceedings by the PCAOB, state licensing bodies and the AICPA; (iii) class action securities fraud litigation; (iv) professional negligence and malpractice litigation and arbitration; and (v) congressional investigations. We also have represented accounting firms in connection with major securities legislation affecting professional liability. Our experience in dealing with various aspects of GAAP and GAAS, along with our knowledge of the accounting industry, makes us trusted advisors to our auditor and accounting firm clients.

  • SEC Investigations & Enforcement Proceedings: Our extensive enforcement experience helps us predict where the SEC might steer its investigations of our auditor and accounting firm clients, and we have an established record of success in defending these investigations.

  • PCAOB Investigations and Professional Disciplinary Proceedings: The PCAOB has played a special enforcement role since its formation, and we have been there for our clients since the beginning by helping them navigate the unique PCAOB investigatory and disciplinary process.

  • Professional Negligence and Malpractice Litigation & Arbitration: Our broad knowledge of accounting and auditing standards enables us to understand professional negligence and malpractice claims brought against our clients and to develop defenses in an effort to cost-effectively defeat such claims.

Experience Highlights

  • National accounting firm in SEC and PCAOB investigations involving auditor independence, including the performance of nonaudit services for audit clients and accounting firm entity theories of liability.

  • National accounting firm in an SEC investigation involving complex tax accounting issues arising out of multiple restatements by a public company audit client in the oil and natural gas services industry.

  • National accounting firm in separate SEC investigations involving the valuation of (i) highly illiquid convertible debentures held by a hedge fund audit client, (ii) oil and gas royalty interests held by a private fund audit client and (iii) structured notes held by an audit client consisting of a series of private pooled investment funds.

  • National accounting firm in separate SEC investigations involving the audits of (i) an independent governing body of a healthcare system and (ii) a foreign public company in the housing development and construction industry.

  • National accounting firm in investigations by the SEC and a state securities regulator relating to an asset management audit client's practices involving potential breaches of fiduciary duty, related party transactions, payments to investors, and marketing issues.

  • Global organization of member accounting firms in separate PCAOB investigations involving the audits of (i) a global financial services firm, (ii) a foreign energy company, (iii) a foreign public company in the telecommunications industry, and (iv) a public company in the technology industry.

  • ​​​​​​National accounting firm in a commercial dispute brought by an entity alleging that it made a substantial loan to one of the firm's audit clients in reliance on a clean audit opinion issued by the firm.

  • Partners and staff of national accounting firms in (i) a contested PCAOB disciplinary proceeding involving the audit of a pharmaceutical client, (ii) a PCAOB investigation relating to audit documentation standards, (iii) an SEC investigation involving the audits of a public company in the health industry, (iv) an SEC investigation involving a bank audit client's accounting for loan loss reserves, and (v) an SEC investigation involving the audits of a medical device public company.

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