Being a stockbroker or investment advisor can being a minefield of legal considerations, particularly if you are accused of committing Securities Fraud. These charges can arise from allegedly 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, if you are being accused, a Securities Regulation or Enforcement proceeding will usually follow.
When you are under investigation or subject to enforcement proceedings brought by the Securities and Exchange Commission (SEC), self-regulatory bodies like the Financial Industry Regulatory Authority (FINRA) or the Arizona Corporation Commission (ACC) you need the aggressive and knowledgeable defense of DM Cantor.
Securities allegations usually include one or more of the following violations:
- Insider trading
- Licensing issues
- Excessive markups and advisory fees
- Failure to diversify
- False and misleading disclosures
- Improper revenue recognition
- Financial issues
- Market manipulation
- Penny stock fraud
- Ponzi schemes
- Misrepresentation and Omissions
- Negligent or otherwise inadequate supervision of securities professionals
- Private securities transactions
- Unsuitable investments
- Unauthorized trading
- Sale of unregistered securities and securities fraud
- Selling investments not approved by the brokerage, also known as “selling away”
- Other sales practices abuses
Legal Representation You Need for Securities Regulatory and Enforcement Proceedings
DM Cantor understand how damaging to your reputation that the mere beginning of an enforcement action by securities regulators can be. In addition we understand how current clients and prospects can be lost to this process. This is why your attorney must be proactively aggressive before the investigation proceeds to public awareness. You need representation before regulators decide to bring charges. An aggressive attorney may be able to convince regulators or prosecutors to not bring proceedings at all. When enforcement actions are inevitable, you need a Securities Regulatory and Enforcement lawyer prepared to litigate against state regulators, the SEC and FINRA.
One of the most critical steps you will take when facing regulatory or enforcement proceedings is that of choosing your legal representation. You need the aggressive, skilled and knowledgeable help of DM Cantor, an AV® rated law firm listed in the Criminal law section of the Bar Register of Preeminent Lawyers®.
The White Collar Defense team at DM Cantor have the experience and knowledge you need for your Securities Regulatory and Enforcement Proceedings. Call DM Cantor at 602-307-0808 or Contact Us for a Free Case Consultation.