Securities Regulation & Enforcement

Seasoned Securities Regulation And Enforcement Representation

In addition to securities litigation and compliance, issues often arise that impact individuals and businesses that involve securities regulation and enforcement of laws that govern the area of securities. These regulatory and enforcement matters may be initiated by a number of regulatory agencies, including the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), stock exchanges, state financial agencies, and foreign regulatory bodies.

These agencies investigate and file civil regulatory actions involving violations ranging from unregistered offerings to securities fraud. The mere existence of an informal inquiry or formal investigation can destroy an individual’s reputation or an entity’s name. Therefore it is critical to be represented by experienced counsel.

Knowledge And Experience On Your Side

At the law firm of Jenks & Harvey, we focus on handling matters related to securities regulation and enforcement.  With several decades of experience concentrating in this complex area of law, we are an exceptional ally in and out of regulatory investigations, regulatory proceedings, and administrative actions.

We confidently represent a wide range of clients, including registered persons, corporate officers, member firms, and other before securities regulators. Our skilled lawyers step in and handle issues at each critical juncture in a FINRA or SEC enforcement proceeding. From initial inquiry through enforcement actions, we use our extensive knowledge when handling matters such as:

  • In-house inquiries and investigations
  • Responding to administrative subpoenas for documents
  • “On-the-Record” testimony
  • The “Wells” process
  • Administrative hearings

Enlist The Help Of Our Innovative Team

For additional information regarding securities regulations and enforcement, contact our firm online today or call our office at 855-718-5029. Though we are based in West Palm Beach, Florida, we handle cases throughout the country for clients who are in need of securities assistance.