SEC & FINRA Investigations & Proceedings
AN ARIZONA LAW FIRM FOCUSED ON SEC & FINRA INVESTIGATIONS
Charges of stock broker trade practice violations are complex cases that only experienced and qualified attorneys can handle. The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are well-equipped, sophisticated, and aggressive in their investigation of such charges. Your Phoenix securities attorney needs to be qualified to protect your rights during such an investigation.
For over 20 years attorneys at Baskin Richards have prosecuted or defended innumerable cases of the greatest complexity and the highest stakes related to violations of professional codes of conduct and accusations of criminal behavior. We have represented both firms and individuals. FINRA or SEC investigations into alleged financial misconduct can lead to the loss of a stockbroker or financial adviser’s license, restitution, disgorgement of fees or commissions and/or fines. Worse, FINRA or the SEC can refer their cases to state or federal prosecutors who will bring criminal charges and seek prison time. Whichever agency or regulatory organization oversees your business, our attorneys have deep experience with their methods and tactics.
We have seen our clients through countless securities regulatory & enforcement proceedings including those conducted by the SEC, FINRA, the Commodity Futures Trading Commission (CFTC) and state securities regulators
If you are a stockbroker or financial or investment advisor being investigated for securities fraud, unsuitable investment advice, selling away, an alleged Ponzi scheme, insider trading or any other alleged wrongful conduct-you need diligent and experienced attorneys on your side. Contact our Phoenix securities attorneys for clear explanations of how the SEC or FINRA investigation will be conducted; we have helped clients through such investigations innumerable times.
Contact us on-line or call: 602-812-7979. Our familiarity with SEC & FINRA investigations is beyond dispute. We can help guide and defend you through the complex process of the investigation and any related proceedings. 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.