SEC & FINRA Investigations

SEC & FINRA Investigations

Securities enforcement investigations by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) can have devastating consequences for individuals and companies in the financial services industry. These investigations often move quickly and can lead to civil enforcement actions, substantial penalties, industry bars, and even criminal referrals.

SEC Investigations

The SEC has broad investigative authority to examine potential violations of federal securities laws, including insider trading, securities fraud, accounting fraud, and market manipulation.

FINRA Investigations

FINRA has authority to investigate broker-dealers and registered representatives for violations of securities industry rules, resulting in fines, suspensions, and permanent bars.

How I Can Help

  • Responding to SEC subpoenas and document requests
  • Representing clients in SEC and FINRA investigative testimony
  • Wells notice responses
  • Negotiating settlements with the SEC and FINRA
  • Defending against SEC civil enforcement actions
  • Parallel criminal proceeding defense

Contact me immediately if you have received an SEC or FINRA inquiry.