While the Securities and Exchange Commission (SEC) oversees and regulates the public securities market in the U.S., its Enforcement Division investigates and prosecutes a number of offenses. This federal agency has the legal authority to pursue cases in administrative, civil, and criminal courts. As a broker, it can be overwhelming to suddenly become the subject of an SEC investigation. That’s why Judex Law, LLC is committed to helping financial advisors successfully navigate this challenging time, consistently informing you and empowering you throughout each stage of the process—from investigation through appeal, if need be.
The SEC states its commitment to certain core principles, including “protection of retail investors, focus on individual accountability, and the imposition of remedies that most effectively further enforcement goals.” Enforcement actions typically cover a wide range of issues, such as investment advisory issues, securities offerings, market manipulation, insider trading, broker misconduct, and more. Many of these SEC investigations involve potential penalties of tens, hundreds, or millions of dollars, so it’s essential that you contact a knowledgeable securities law attorney right away to ensure your rights are protected.
At Judex Law, LLC, we understand the serious nature of SEC investigations. We’re here to answer your questions and address your concerns so that you can move through this process with poise and confidence. We’ll assess the details of your situation in order to develop a customized defense strategy that aims to give you the best possible outcome. Reach out to our office right away to get started with an experienced securities fraud and negligence defense attorney who will work hard to protect your future.