Governmental Investigations and Regulatory Enforcement

If you have received a letter, notice, or subpoena from the DOJ, the SEC, FINRA, or a state securities regulator regarding an investigation into you or your financial services firm, you must hire an experienced attorney to prepare a narrative that seeks to clear and absolve you from any alleged crimes, regulatory issues, or securities violations.

Failure to comply with SEC, FINRA, or state regulations can result in one or more of the following: an enforcement action, a bar from the industry, civil fines, or forfeiture. If you or your firm becomes the subject of an investigation or regulatory enforcement action, you may be asked for a proffer session or on-the-record (OTR) testimony. It is imperative to approach this interview or testimony with a sound legal strategy. How you present your information at this interview or testimony can make the difference between no further action being taken against you or your firm, or the investigation escalating into a criminal indictment or enforcement proceeding. The experienced attorneys at Warren Law Group can help you prepare your best possible defense.