Current securities laws and regulations are notoriously complex. As a professional in the financial industry, it’s important to understand your obligations under state and federal laws—especially since it’s easy to inadvertently make mistakes that result in accusations of noncompliance. At Judex Law, LLC, we can assess your situation to ensure that you remain in compliance with the evolving federal and state securities laws and regulations. Should you face accusations of noncompliance, we can provide you with strategic and effective defense counsel as well.
The past several decades have seen increased regulations throughout the financial and securities industries. The SEC and state regulatory bodies often update their requirements, rules, and enforcement efforts. In order to avoid accusations of noncompliance that can negatively impact your professional reputation, we invite you to work with our trusted securities compliance attorney who can offer you personalized guidance that’s tailored to address your unique needs. We’ll help you adopt a proactive approach to assessing your securities compliance practices in order to minimize the risk of an SEC investigation or enforcement action.
Facing an SEC investigation regarding a securities compliance matter can be overwhelming. We understand how challenging this process can be, which is why we’re committed to walking you through every phase— from start to finish. If you are currently facing accusations of securities fraud, disclosure noncompliance, or other related actions, we are here to guide you through the arbitration or mediation process, protecting your best interests at every turn.