Tax Controversies

James, McElroy & Diehl attorneys are experienced in providing representation to individuals and business entities in Federal tax audits, as well as in audits conducted by North Carolina and South Carolina taxing authorities. In civil audit contexts, we understand the tax examination process and the different dynamics that characterize a serious, aggressive audit versus a […]

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SEC Investigations

James, McElroy & Diehl lawyers are experienced in representing individuals (including those with professional licenses) and business entities in SEC investigations and prosecutions. We have successfully used the Wells submission process to persuade the SEC to refrain from regulatory action against our clients, and we have successfully negotiated acceptable resolutions of SEC investigations.

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FINRA Investigations

An investigation by the Financial Industry Regulatory Authority is a serious matter for any financial professional. James, McElroy & Diehl has considerable experience representing stockbrokers and other investment professionals in connection with FINRA investigations, and can help our clients navigate the process from start to conclusion. Our knowledge of the potential traps and hidden issues […]

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Antitrust Investigations

James, McElroy & Diehl attorneys are experienced in representing companies and individuals in investigations by the Antitrust Division of the United States Justice Department. We also have coordinated our work with Canadian and European counsel in matters of interest to Canadian and EU investigators. We understand the importance of discreet thorough work on behalf of […]

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