Practice areas

LITIGATION
With broad experience in federal and state civil and criminal settings, Mr. Holmes represents clients in civil and criminal investigations, internal investigations, and all phases of litigation (including arbitrations, administrative hearings, and civil and criminal trials).  Mr. Holmes has particular expertise in the following areas:
- White Collar and Enforcement Defense

Mr. Holmes represents clients in U.S. Attorney and District Attorney investigations and cases, and defends litigated criminal cases.  Mr. Holmes also represents clients in separate (and/or parallel) SEC, CFTC, and other regulatory inquiries, investigations, and civil enforcement actions.  His practice also includes internal investigations (and reports, if needed) on behalf of Boards of Directors or committees thereof.   

- Securities (FINRA) and Futures (NFA) Arbitrations

Mr. Holmes both brings and defends actions against investment advisers, broker dealers and their registered representatives in consumer actions.     

- Complex Civil Litigation

Mr. Holmes represents clients in all types of civil litigation and arbitration, and has particular experience with cases involving:
- Financial fraud and related allegations of malfeasance
- Real estate litigation, including RESPA

- Regulatory Defense

Mr. Holmes represents clients in administrative inquiries and actions brought not only by the SEC and CFTC, but also those emanating from:
- California Attorney General's Office
- Department of Corporations
- Department of Real Estate
- Department of Insurance
- Medical Board
- Board of Accountancy 
REGULATORY COMPLIANCE
Mr. Holmes advises clients on corporate governance issues related to the securities laws, reviews press releases, advises clients on proper regulatory and periodic reporting, internal controls and accounting issues, insider trading compliance programs and regulation FD.  He also assists clients with Financial Industry Regulatory Authority (“FINRA”) and state regulatory and compliance issues for issuers, broker-dealers, and investment advisors.