Our attorneys are well-versed and experienced in defending against any Securities and Exchange (SEC), Federal Deposit Insurance Corp (FDIC), and Financial Industry Regulatory Authority (FINRA) investigation and potential enforcement actions.
For more information on the SEC:
SEC Investigations & Subpoenas
SEC Investigations: How to Select the Right Attorney
The Blanch Law Firm has represented, brokers, investors, investment fund managers, trading houses and options traders in a variety of SEC investigations and enforcement actions and across a multitude of industries. Often our clients find themselves between a rock and hard place when navigating the perils of an SEC enforcement action with the potential of criminal charges in a parallel DOJ investigation. Licensed professionals are also FINRA regulated and, as such, face the triple threat of SEC, DOJ (criminal); and FINRA arbitration actions and related sanctions.
It is imperative for clients to take into account the role they occupy when formulating their defense strategy in any securities litigation or investigation matter. As described above, a securities broker faces a myriad of issues that may not apply to the proprietary trader or investment fund principal.
For example, some investor-specific charges that often arise in SEC investigations are:
- Falsifying business records
- Market manipulation
- Insider trading
- Short selling
- Pump-and-dump
A professional broker has a duty to represent the best interests of their client(s). Knowingly leading clients into unwise or fraudulent trades could result in criminal charges. Because investors trade across state lines, stock fraud could result in state as well as federal charges.
Learn more about Investment Fraud in order to protect yourself against any securities investigation. Contact one of our attorneys if you are in need of Securities and Investment Fraud Defense. An investigation is not an indictment. Contact one of our criminal defense attorneys in the preliminary stages of the investigation in order to yield the best defense towards the allegations.
