Being a stockbroker or investment advisor can be a minefield of legal considerations, particularly if you are accused of committing Securities Fraud. These charges can arise from recommending an unsuitable investment, or perhaps you are accused of misrepresenting an investment. Charges could also be filed if you are accused of stealing from a client. Regardless of the Securities Fraud, Misrepresentation and Churning crimes you are being accused of a Securities Regulation or Enforcement proceeding will usually follow.