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

securities attorney

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.

"Our cases are about people and relationships" -BASKIN RICHARDS

Our litigation skills also extend to helping business owners and much more.

Meet The Attorneys

Our attorneys protect the rights of all types of clients in a wide variety of litigated matters.

Practice Areas

We are strongly experienced in representing both sides in many different types of disputes.

Firm Overview
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Contact a Skilled Phoenix Securities Litigation and Arbitration Attorney

For more information or to schedule a consultation, call 602-812-7979 or contact our Arizona law firm online.

Our Location

2901 N. Central Ave, #1150

Phoenix, AZ 85012

Contact Us

LOCAL   602.812.7979

FAX   602.595.7800