Familiarity with both regulatory processes and personnel is critical in assisting in clients in developing effective and coordinated enforcement defense strategies. We can assist brokerage firms, issuers and their respective staff in a variety of charges, potential charges or informal investigations, including the negotiation of resolutions with regulatory agencies when appropriate.
SEC investigations and enforcement, FINRA investigations and enforcement, including responding to informal testimony, document requests, Rule 8210 requests and Wells notice relate to subjects including: inadequate disclosure, failure to supervise, improper sales practices, product structures, underwriting practices, trading issues, regulatory reporting, advertising violations and blue sky issues.
If you wish to speak with an attorney about your needs and questions regarding a pending securities investigation or enforcement matter, please contact us at info@secorplaw.com.