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SEC Matters

The securities industry is heavily regulated, and these rules change frequently. The SEC is very aggressive when it comes to enforcing their rules and regulations, and anyone suspected of being in noncompliance may face serious consequences.

The attorneys at Ford O’Brien Landy LLP, located in New York, Miami, and Austin, have a strong reputation for getting results for clients who have pending SEC matters. We have helped many businesses and individuals in high-profile cases involving the SEC.

Examining The Issues Present In Your Case

Many of the SEC cases that we receive at our firm are connected to some type of white collar criminal allegation. After resolving the criminal case, we are then able to represent you or your company in the SEC civil proceeding. Some of the various types of clients and cases that our lawyers handle in connection with the SEC include:

  • Representing broker-dealers accused of insider trading or securities fraud
  • Defending investment advisors accused of inadequate disclosures
  • Protecting companies who have been charged with failing to oversee employees who allegedly falsified information about investments
  • Representing foreign companies that have been accused of improperly soliciting clients

We know that you and your company depend on a successful outcome of your case. The longer the SEC investigation lingers, the more potential for a negative impact upon your future. We work diligently to develop a plan that helps us pursue a prompt and efficient resolution to help you accomplish your specific goals.