Stephen Cazares

I use my twenty years of experience as a prosecutor at the SEC and DOJ to defend companies, their executives, and other persons confronted with regulatory investigations, fraud litigation, and state and local prosecutions including matters before the U.S. Department of Justice, Securities and Exchange Commission, Commodity Futures Trading Commission, and the Federal Trade Commission. I also conduct internal investigations relating to allegations of securities and regulatory compliance violations and allegations of misconduct by whistleblowers. I leverage my extensive experience to guide clients through civil and criminal regulatory matters from early investigation stages through litigation, trial, and appeal. I have led seventeen federal jury trials to verdict, many several months long, and briefed and argued twelve appeals before the Ninth Circuit Court of Appeals. Among my recent technology, financial services, and artificial intelligence clients, I represented the former President of Silicon Valley blood testing company Theranos, Inc. against the DOJ and SEC, including a four month criminal trial in the Northern District of California. I also represented an artificial intelligence lab with a valuation of $18+ billion in an investigation by the DOJ, a Southern California investment adviser with $3+ billion AUM in investigations by the DOJ and SEC related to the collapse of FTX, as well as a large financial services company in relation to an internal investigation related to surveillance and compliance issues.