Government Regulatory Enforcement

Our Experience is an Asset

The Miami SEC lawyers at Stumphauzer & Sloman understand that civil enforcement proceedings can have a devastating effect on our clients' professional and personal lives.  Regulators have authority to impose fines, exclude clients from government programs, and restrict a client’s ability to work in regulated industries.  Our attorneys have extensive experience dealing with regulatory bodies in the securities and health care fields, including the Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), the State of Florida Office of Financial Regulation (OFR), the Financial Industry Regulatory Authority (FINRA), the Centers for Medicare and Medicaid Services (CMS), Health and Human Services- Office of Inspector General (HHS-OIG), and the Medicare Fraud Control Units (MFCUs). 

 Health Care Industry

Mr. Stumphauzer has dedicated a substantial portion of his career to health care fraud and abuse matters.  Prior to forming Stumphauzer & Sloman, Mr. Stumphauzer served as the Deputy Chief of the Health Care Fraud Unit at the United States Attorney’s Office in the Southern District of Florida, the nation’s most active enforcement district.  In that capacity, Mr. Stumphauzer dealt extensively with CMS, HHS-OIG, MFCU, and Program Integrity Contractors.  Mr. Stumphauzer has the experience and insight to guide clients through on-site inspections, program integrity audits and reviews, overpayment determinations and appeals, prepayment reviews, and program exclusion and revocation matters.

We are Proactive

Our Miami SEC lawyers move quickly to assess our client’s exposure and to design a comprehensive risk-mitigation strategy.  We guide you through the civil investigative process, helping you to comply with your obligations, while also protecting your interests.  When dealing with regulators and their staff, we take a proactive role by presenting a coherent explanation of the facts, with the goal of avoiding the damaging effects of an enforcement action.  If litigation cannot be avoided, our experienced trial attorneys will conduct a full investigation and vigorously defend your interests in court. 

Our Miami SEC Lawyers Offer a Coordinated Defense Strategy

Regulatory enforcement proceedings are often coupled with parallel criminal investigations, which are independently investigated and prosecuted by state or federal authorities.  Stumphauzer & Sloman has the ability to develop and execute a comprehensive regulatory defense strategy, which includes a well-defined plan to mitigate ongoing or potential criminal prosecution.      





Contact Us

Stumphauzer & Sloman

Our Location

One Biscayne Tower
2 South Biscayne Boulevard
Suite 2550

Miami, FL 33131

P: (305) 371-9686
Facsimile: (305) 371-9687

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