Securities Regulation, Enforcement and Compliance
Securities regulation and enforcement matters may be initiated by a number of regulatory agencies, including the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA)(f/k/a the NASD), stock exchanges, state financial agencies, and foreign regulatory bodies. These agencies investigate and file civil regulatory actions involving violations ranging from unregistered offerings, failure to comply with industry rules, and securities fraud. Significantly, an enforcement action or proceeding can result in court-ordered receiverships, temporary restraining orders (TROs), preliminary and permanent injunctions, asset freezes, disgorgement, severe monetary penalties, officer and director bars, penny stock bars, and administrative orders barring or suspending individuals or entities from the securities industry. The mere existence of an informal inquiry or formal investigation can destroy an individual’s reputation or an entity’s name. Enforcement/compliance proceedings can be an arduous and overwhelming process. It is important to have legal representation with experience in such matters so as to be informed of your rights.
In addition to representing investors with claims against their broker-dealer, The White Law Group also uses its securities expertise in the area of securities regulation, enforcement and compliance. The White Law Group is able to provide clients with the necessary skills they need in defending a securities regulatory or enforcement proceeding.
The White Law Group’s securities regulation and compliance attorneys are experienced in all aspects of federal and state securities laws. Our securities regulatory, enforcement and compliance practice entails handling securities industry arbitrations; responding to Securities and Exchange Commission (SEC) and FINRA investigations; and defense against SEC and FINRA enforcement and administrative proceedings.
We represent clients at each critical juncture in an SEC and FINRA enforcement proceeding, including from an initial inquiry, a formal investigation, or even any resulting litigation (including during settlement negotiations, pre-trial hearings, administrative hearings, and federal trials). We also have experience preparing “Wells” submissions and negotiating Acceptance, Waiver & Consent (“AWC”) agreements.