Practice Areas

SEC Investigations

We have defended against lawsuits brought by the Securities and Exchange Commission (SEC) in the Central, Southern, Eastern, and Northern Districts of California as well as in Utah. We have represented numerous clients in SEC investigations based in California, Washington, D.C., New York, Texas, Florida, Illinois, and Utah.

Such cases include alleged Ponzi schemes, insider trading, financial statement accuracy and restatements, and Foreign Corrupt Practices Act cases. Litigating and settling these cases, where careers and one’s life savings can be on the line, is dramatically different than handling regular litigation matters. Scott Vick’s approach often puts clients at ease and instills the confidence necessary to achieve a successful result.

PCAOB Investigations

In some ways, the Public Company Accounting Oversight Board (PCAOB) has more power and wields more terrifying weapons than the SEC. Not only can the PCAOB ruin the careers of financial statement auditors over mere negligence in hindsight but can also impose eye-popping monetary sanctions for “noncooperation.”

Scott Vick has successfully navigated these treacherous waters for many clients and is one of the few lawyers that have handled this unique type of litigation through trial (called a “hearing”) and appeal. In addition, he advises auditors and registered firms on how to respond to PCAOB comment letters and handle other audit and auditor issues outside of litigation.

FINRA Investigations and Arbitrations

The Financial Industry Regulatory Authority for-cause investigations can be tricky for clients. For example, there is no right in a FINRA matter to “take the Fifth,” but there is an obligation to cooperate. After arbitrations before the FINRA, there are generally no rights to appeal.

Scott Vick has assisted his clients through the confusing FINRA landscape and minefields. He also arbitrates FINRA cases that involve private disputes between and among registered representatives and broker-dealers.

CPA and Attorney Malpractice

Vick Law Group frequently represents clients in professional malpractice claims involving attorneys and accountants. We have trial lawyers who work closely with our clients to guide them in each stage of the trial process. For us, the strongest defense is possible when the client and attorney coordinate their efforts and work together as a team.

In addition, our law firm has extensive experience in representing many professional clients in various partnerships and professional issues. In some situations, such involvement consists of confidential strategic counseling. Other times, we represent professional clients involved with dissolution or liquidation. Vick Law Group also has successfully represented professionals in disciplinary proceedings.

DBO Investigations

Subpoenas from the Department of Business Oversight can look and feel like a request for every single document at the company. Responding to these broad subpoenas and the related investigations involve important, careful, and sometimes tedious work.

At Vick Law Group, we recognize that clients often have only a limited amount of funds to respond to overwhelming investigations. This is why we focus our strategy on how to properly guide our clients through DBO investigations in a cost-efficient manner.

Civil Litigation

This simply refers to lawsuits filed by individuals or businesses, seeking to enforce a legal right or remedy. Often, the remedy sought is in the form of a money judgment, but it could be an order for other relief like the return of personal or real property.

At Vick Law Group, we have trial lawyers who are experienced courtroom attorneys. They can fully understand civil litigation and trial and have the skills and resources to get the best possible result in your case.

We take our clients’ cases very seriously and employ all tools available to present every case in its most favorable light. With extensive experience in both small and bet-the-company cases, we have represented plaintiffs and defendants in all manners of civil litigation.

Corporation and Partnership Disputes

For many business owners, the greatest threat to a venture may not be the actions of your competitors, but rather a dispute with your business partners. If you are experiencing a serious dispute with your partner that is escalating and affecting your business operations, we suggest you implement immediate measures to secure your business and hard-earned equity interests.

At Vick Law Group, we assist small businesses and individuals within limited liability companies, joint ventures, and partnerships with various business dispute matters. We provide representation to start or defend litigation as well as help you develop strategies to avoid future disagreements.

Employment Litigation

We litigate a wide range of employment cases, including disputes over employment discrimination, harassment, retaliation, and wrongful discharge, wage and hour violations, PAGA claims, misappropriation of trade secrets and confidential information, unfair competition, restrictive covenants, investigations, and employment-related torts.

Los Angeles and Monterey Litigation and Trials

We litigate and try legal cases, particularly in Los Angeles and Monterey.

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