Securities Regulatory Proceedings

Bade & Baskin represents entities and individuals in proceedings before the United States Securities and Exchange Commission (“SEC”), the Arizona Corporation Commission (“ACC”), the New York Stock Exchange (“NYSE”) and the National Association of Securities Dealers (“NASD”).

Bade & Baskin has ample experience representing clients who are under investigation of or are subject to enforcement proceedings brought forth by the SEC, state securities regulators and self-regulatory organizations (“SROs”) like the NASDR and NYSE. This experience includes both the defense of matters involving allegations of sales practice abuses, churning, unauthorized trading, negligent and fraudulent misrepresentation, “selling away”, private securities transactions, Ponzi schemes, insider trading, market manipulation, penny stock fraud, licensing issues, disclosure failures, improper revenue recognition, excessive mark-ups and advisory fees, negligent or otherwise inadequate supervision of securities professionals, false and misleading disclosures, and financial issues.

Bade & Baskin 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. If an enforcement action cannot be avoided, we are well prepared to litigate against the SEC, NASDR, NYSE and state regulators.