SECURITIES REGULATORY & ENFORCEMENT PROCEEDINGS
The attorneys of Baskin PLC have years of 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:
- Excessive markups and advisory fees
- False and misleading disclosures
- Financial issues
- Insider trading
- Improper revenue recognition
- Licensing issues
- Market manipulation
- Negligent and fraudulent misrepresentation
- Negligent or otherwise inadequate supervision of securities professionals
- Penny stock fraud
- Ponzi schemes
- Private securities transactions
- Sale of unregistered securities and securities fraud
- Sales practice abuses such as churning, unsuitable investments and unauthorized trading
- Selling investments that have not been approved by the brokerage firm or selling away
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. 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 of an attorney to represent you is one of the most important decisions you will make. Attorney Baskin has more than 20 years of securities law experience, including seven years prosecuting these types of cases administratively, civilly and criminally. He is the only attorney over the past 20-plus years to have twice defeated Arizona’s securities regulators on an appeal of a securities case and twice recover attorneys’ fees for his clients. His experience is unrivaled.
For More Information About Securities Regulation and Enforcement
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. For more information or to schedule a consultation with one of our attorneys, call 602-812-7977 or fill out the contact form on this site.
AN ARIZONA LAW FIRM FOCUSED ON SEC & FINRA INVESTIGATIONSCharges of stock broker trade practice violations are complex cases that only experienced and qualified attorneys can handle. The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are well-equipped, sophisticated, and aggressive in their investigation of such charges. Your Phoenix securities attorney needs to be qualified to protect your rights during such an investigation.
For over 30 years, attorneys at Baskin PLC have prosecuted or defended innumerable cases of the greatest complexity and the highest stakes related to violations of professional codes of conduct and accusations of criminal behavior. We have represented both firms and individuals. FINRA or SEC investigations into alleged financial misconduct can lead to the loss of a stockbroker or financial adviser’s license, restitution, disgorgement of fees or commissions and/or fines. Worse, FINRA or the SEC can refer their cases to state or federal prosecutors who will bring criminal charges and seek prison time. Whichever agency or regulatory organization oversees your business, our attorneys have deep experience with their methods and tactics.
We have seen our clients through ountless securities regulatory & enforcement proceedings including those conducted by the SEC, FINRA, the Commodity Futures Trading Commission (CFTC) and state securities regulators If you are a stockbroker or financial or investment advisor being investigated for securities fraud, unsuitable investment advice, selling away, an alleged Ponzi scheme, insider trading or any other alleged wrongful conduct-you need diligent and experienced attorneys on your side. Contact our attorneys for clear explanations of how the SEC or FINRA investigation will be conducted; we have helped clients through such investigations innumerable times.
Contact us on-line or call: 602-812-7977. Our familiarity with SEC & FINRA investigations is beyond dispute. We can help guide and defend you through the complex process of the investigation and any related proceedings. 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.
If you are an Arizona investment adviser, stockbroker, wealth manager, banker, or other professional working with securities and investments and are suspected of wrongdoing, you may be investigated by the Arizona Corporation Commission (ACC). As with investigations involving the administrative and law enforcement bodies of FINRA and the SEC, Arizona attorneys who have a long history with the ACC are essential to defending your rights in such cases.
The attorneys of Baskin PLC have been defending clients before the ACC for decades; one of our attorneys’ (Alan Baskin) first job as an attorney was in 1990 at the ACC and his practice has continuously involved ACC matters. The ACC regularly refers its cases to the Arizona Attorney General’s Office or other state or federal prosecutors. We are intricately familiar with this process; Alan Baskin believes he is the only attorney in Arizona to have worked as an enforcement attorney at the ACC, to have spent 5 years prosecuting securities cases criminally for the Arizona Attorney General’s Office and to now (since 1997) defend those cases. Also, Alan Baskin believes he is the only attorney over the past 30 years to have twice-defeated the ACC on an appeal of a securities case and twice recover attorneys’ fees for his clients. His experience is unmatched.
If the ACC is investigating you, you may face charges of:
- Arizona Investment Management Act violations
- Failure to supervise
- Hedge Fund Investment Fraud
- Ponzi Schemes
- Violations of Arizona’s Securities Act
- Securities fraud
- Selling away Unsuitable investment claims
CONTACT A Skilled Phoenix Securities Litigation and Arbitration Attorney
To schedule a consultation, call 602-812-7977 or fill out our contact form.