SEC and State Securities Law Enforcement
We represent persons of interest in government investigations SEC. Many of those investigations are conducted in parallel with state securities law enforcement agencies. We are experienced in assisting witnesses and targets of these law enforcement inquires in responding to requests for documents and information, preparing for witness testimony, and defending them if required to testify. Although we strive to avoid formal Wells notices, we can assist clients who have received such notices and respond to them as appropriate. When necessary we also represent clients in law-enforcement actions both in agency administrative proceedings or federal court actions.
FINRA, the broker-dealer self-regulatory organization, polices broker-dealers and their associated persons. FINRA investigates violations of FINRA rules, and the federal securities laws in association with the SEC. These proceedings are handled just as any other law enforcement inquiry, but FINRA members and their associated persons can be disciplined for failing to cooperate in a FINRA proceeding.
Related Civil Litigation
Securities investigations often spawn related civil litigation. We represent persons of interest in defending that related litigation whether class actions or individual actions. This includes arbitration proceedings where there is a valid enforceable arbitration agreement that forces the litigation into arbitration.