Securities Enforcement

Evans & Kob represents corporations and individuals confronted with inquiries from regulatory and securities enforcement agencies, including the United States Securities and Exchange Commission, state securities regulatory agencies and the Financial Industry Regulatory Authority, Inc. As opposed to ordinary civil or commercial disputes, representing a client in a securities enforcement matter, including informal investigations, presents challenges and requires different strategies, including potential reputational harm or affecting business prospects. Due to the differences, it is critical in your representation for attorneys to be both prompt and proactive in communication with regulators to advance your interests.
 
SIE1Familiarity with both regulatory processes and personnel is critical in assisting in clients in developing effective and coordinated enforcement defense strategies. We can assist brokerage firms, issuers and their respective staff in a variety of charges, potential charges or informal investigations, including the negotiation of resolutions with regulatory agencies when appropriate.
 
SEC investigations and enforcement, FINRA investigations and enforcement, including responding to informal testimony, document requests, Rule 8210 requests and Wells notice relate to subjects including: inadequate disclosure, failure to supervise, improper sales practices, product structures, underwriting practices, trading issues, regulatory reporting, advertising violations and blue sky issues.
 
If you wish to speak with an attorney about your needs and questions regarding a pending securities investigation or enforcement matter, please contact us at info@eklawpc.com.

Interested in our services? We would appreciate hearing from you!