The attorneys of SECIL have a wealth of experience in representing investors and financial services professionals in FINRA and AAA arbitrations; shareholders of closely held corporations; and officers and directors of public companies in litigation filed against them. We also represent financial professionals and firms across a wide spectrum of SEC, FINRA, and state regulatory matters. As a premier boutique financial services firm with few conflicts, our background in representing clients on different sides of various issues has provided us with superior insights into the various strategies and techniques that can work in this specialized area.
In our experience, most financial advisors are honest people who serve their clients well. However, at times, advisors make mistakes that can end up costing their customers significant financial losses. And, occasionally, some financial advisors act illegally or unethically and betray the trust placed in them by their customers. If you are an investor who believes that your financial advisor has done something inappropriate with your accounts, you should seek a professional evaluation of the situation. We have assisted investors in recovering their money in a multitude of scenarios and are here to assist you as well.
Securities professionals sometimes find themselves in situations where they have been wrongly accused, either by customers who hold them responsible for market reversals, or by firms who have decided to jettison them and seek to make it difficult for them to be employed in the industry. At other times, individual professionals may face a FINRA, SEC, or a state regulator investigation. We encourage you to reach out and seek assistance in what may be a career-determining moment.
Broker-Dealers & Registered Investment Advisors
As a firm in a highly regulated industry, a broker-dealer or RIA faces complex issues that can arise in the course of an SEC or FINRA examination or investigation, as a result of customer arbitration claims, or in addressing new regulatory requirements at the federal or state level. We frequently interface with regulators and draw on our deep bench of former SEC enforcement and trial attorneys to address questions and navigate investigations that arise from time to time, whether undertaken by the SEC, FINRA or the CFTC. We would look forward to working with you should the need arise.
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