Phoenix, Scottsdale Arizona SEC and FINRA compliance
Charges of stock broker trade practice violations are complex cases that only experienced and qualified attorneys can handle. The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Arizona Corporation Commission (ACC) are well-equipped, sophisticated, and aggressive in their investigation of such charges. Your attorney needs to be qualified to protect your rights during such an investigation.
Attorneys at Bade Baskin Richards have handled innumerable cases of the greatest complexity and the highest stakes related to violations of professional codes of conduct and accusations of criminal behavior. FINRA may lead an investigation into alleged financial misconduct that can result in fines or suspension of a stockbroker or financial adviser's license. In a criminal case related to financial markets, the SEC or ACC may lead an investigation that causes professionals to lose licenses, or pay millions of dollars of restitution and penalties. Worse, these agencies can refer their cases to state or federal prosecutors who will bring criminal charges and seek prison time. Whichever administrative body that oversees your case, 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 ACC, the Commodity Futures Trading Commission (CFTC) and other state securities regulators
If you are a stockbroker being investigated for a violation-securities fraud, insider trading, charges of unsuitable investment advice-you need diligent and experienced attorneys on your side. Contact our attorneys for clear explanations of how the SEC, FINRA or ACC investigation will be conducted; we have helped clients through such investigations innumerable times.
Contact us on-line or call: 480-968-1225 or toll free: 888-366-1847. Our familiarity with SEC & FINRA investigations is beyond dispute. We can help you through the complex process of the investigation and we can provide the defense of your rights or pursuit of your compensation.