Securities Regulatory & Enforcement Proceedings
The securities lawyers of Baskin Richards have years of experience representing clients who are under investigation or are subject to enforcement proceedings brought, by the Securities and Exchange Commission (SEC), state securities regulators such as the Arizona Corporation Commission and by self-regulatory bodies such as the Financial Industry Regulatory Authority (FINRA).
Our experience includes the defense of matters involving allegations of:
- Excessive markups and advisory fees
- False and misleading disclosures
- Financial issues
- Insider trading
- Improper revenue recognition
- Licensing issues
- Market manipulation
- Negligent and fraudulent misrepresentation
- Negligent or otherwise inadequate supervision of securities professionals
- Penny stock fraud
- Ponzi schemes
- Private securities transactions
- Sale of unregistered securities and securities fraud
- Sales practice abuses such as churning, unsuitable investments and unauthorized trading
- Selling investments that have not been approved by the brokerage firm or selling away
Baskin Richards recognizes that the mere initiation of an enforcement action by a securities regulator can severely damage a person’s reputation and business prospects. Therefore, our attorneys oftentimes take proactive steps during the non-public stage of an investigation, before regulators have decided whether to proceed. Our best work is the work you will never hear about: convincing a regulator or prosecutor not to bring a proceeding. If an enforcement action cannot be avoided, we are well prepared to litigate against the SEC, FINRA and state regulators.
If you are involved in a case where you face a regulatory or enforcement proceeding, your choice of an attorney to represent you is one of the most important decisions you will make. Attorney Alan Baskin has more than 20 years of securities law experience, including seven years prosecuting these types of cases administratively, civilly and criminally. He is the only attorney over the past 20-plus years to have twice defeated Arizona’s securities regulators on an appeal of a securities case and twice recover attorneys’ fees for his clients. His experience is unrivaled.
For More Information About Securities Regulation and Enforcement
We serve clients in Arizona and throughout the southwestern United States. Our attorneys are admitted to practice only in Arizona, and we associate with local counsel to handle cases in other jurisdictions. For more information or to schedule a consultation with one of our attorneys, call 602-812-7979 or fill out the contact form on this site.