Securities Enforcement Attorneys

Representing a client during a securities enforcement matter requires specific legal experience and particularized knowledge. Our partners include a former Senior SEC Enforcement attorney, a Special Assistant United States Attorney, and decades of experience representing individuals and financial firms in various enforcement proceedings. They have the in-depth experience and knowledge needed to navigate the most complex securities enforcement investigation.

Securities enforcement proceedings may be initiated by a number of regulatory agencies, including the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), stock exchanges, state financial agencies, and foreign regulatory bodies. These agencies investigate and file civil enforcement actions involving violations ranging from unregistered offerings to securities fraud. Indeed, an enforcement action can result in court-ordered receiverships, temporary restraining orders (TROs), preliminary and permanent injunctions, asset freezes, disgorgement, severe monetary penalties, officer and director bars, penny stock bars, and administrative orders barring individuals or entities from the securities industry. The mere existence of an informal inquiry or formal investigation can destroy an individual's reputation or an entity's name. Simply put, it is critical to be represented by experienced counsel.

Securities laws and regulations are also routinely changed and reinterpreted by courts and regulators. Changes to rules and regulations could severely impact your case or dispute. To ensure zealous and aggressive representation, our firm stays up-to-date on the latest changes and interpretations to the securities laws and regulations. Our attorneys also author articles for various publications, and are the editors of The Securities Law Letter, with over 4,000 subscribers.

Our attorneys have defended individuals, corporate officers, registered representatives, member firms, and others before securities regulators in a wide variety of enforcement matters. We represent clients at each critical juncture in an SEC enforcement proceeding, including from an initial inquiry, through a formal investigation, including responding to administrative subpoenas for documents and "on-the-record" testimony, through the "Wells" process, and during litigation, including during settlement negotiations, pre-trial hearings, administrative hearings, and federal trials.

If you have any questions or would like to discuss your specific situation, please contact Sallah, Astarita & Cox, LLC for a free initial consultation.