Arizona, SEC and FINRA Enforcement Actions Attorney
The attorneys of Bade Baskin Richards have ample experience representing clients who are under investigation or are subject to enforcement proceedings brought, by the Securities and Exchange Commission (SEC), state securities regulators such as the Arizona Corporation Commission and by self-regulatory bodies such as the Financial Industry Regulatory Authority (FINRA).
Our experience includes the defense of matters involving allegations of:
- Sales practice abuses such as churning, unsuitable investments and unauthorized trading
- Negligent and fraudulent misrepresentation
- Selling investments that have not been approved by the brokerage firm or selling away
- Private securities transactions
- Ponzi schemes
- Insider trading
- Market manipulation
- Penny stock fraud
- Licensing issues
- Improper revenue recognition
- Excessive markups and advisory fees
- Negligent or otherwise inadequate supervision of securities professionals
- False and misleading disclosures
- Financial issues
From our law office in the Phoenix suburb of Tempe, 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.
Bade Baskin Richards recognizes that the mere initiation of an enforcement action by a securities regulator can severely damage a person's reputation and business prospects. Therefore, our attorneys oftentimes take proactive steps during the non-public stage of an investigation, before regulators have decided whether to proceed. Our best work is the work you will never hear about: convincing a regulator or prosecutor not to bring a proceeding. If an enforcement action cannot be avoided, we are well prepared to litigate against the SEC, FINRA and state regulators.
If you are involved in a case where you face a regulatory or enforcement proceeding, your choice a lawyer to represent you is one of the most important decisions you will make. Attorney Alan Baskin has more than 20 years of securities law experience, including seven years prosecuting these types of cases administratively, civilly and criminally, first as senior counsel in the Enforcement Section of the Securities Division of the Arizona Corporation Commission, and then as an Assistant Attorney General in the Organized Crime and Fraud Section of the Arizona Attorney General's Office. Alan also handles criminal charges and civil litigation and arbitration cases resulting from regulatory actions.
For More Information About Securities Regulation and Enforcement
For more information or to schedule a consultation with Phoenix securities regulation attorney Alan Baskin, call 888-366-1847 or fill out the contact form on this site.
