Securities / SEC / FINRA Matters

We have handled many securities/RICO cases in the federal courts. Be prepared and understand that, with crowded dockets today in most courts, justice might take a while unless you have the “smoking gun” that will lead you to a quick settlement. Prior to running down that path, it is critical to get the right lawyer, one that does not gouge or guarantee a result. There are many moving parts to any litigation, this requires solid preparation and litigation strategy from the out-set.

We also have successfully handled several SEC and FINRA disciplinary proceedings filed against Broker Dealers and brokers in various jurisdictions across the country. In addition, we are involved in several SEC investigations initiated against public reporting act companies.