Arizona Corporation Commission Investigations & Proceedings
If you are an Arizona investment adviser, stockbroker, wealth manager, banker, or other professional working with securities and investments and are suspected of wrongdoing, you may be investigated by the Arizona Corporation Commission (ACC). As with investigations involving the administrative and law enforcement bodies of FINRA and the SEC, Arizona attorneys who have a long history with the ACC are essential to defending your rights in such cases.
The Phoenix securities attorneys of Baskin Richards have been defending clients before the ACC for decades; one of our attorneys’ (Alan Baskin) first job as an attorney was in 1990 at the ACC and his practice has continuously involved ACC matters. The ACC regularly refers its cases to the Arizona Attorney General’s Office or other state or federal prosecutors. We are intricately familiar with this process; Alan Baskin is the only attorney in Arizona to have worked as an enforcement attorney at the ACC, to have spent 5 years prosecuting securities cases criminally for the Arizona Attorney General’s Office and to now (since 1997) defend those cases. Also, Alan Baskin is the only attorney over the past 20-plus years to have twice defeated the ACC on an appeal of a securities case and twice recover attorneys’ fees for his clients. His experience is unmatched.
If the ACC is investigating you, you may face charges of:
- Arizona Investment Management Act violations
- Failure to supervise
- Hedge Fund Investment Fraud
- Ponzi Schemes
- Violations of Arizona’s Securities Act
- Securities fraud
- Selling away
- Unsuitable investment claims
No matter the type of charges you face, our attorneys are highly-qualified and deeply-experienced to guide you through an ACC matter..
For more information or to schedule a consultation with us call 602-812-7979 or fill out the contact form on this site.