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 matters are initiated by a variety of regulatory agencies, including the the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), stock exchanges, state financial agencies, and foreign regulatory bodies.

Investigations alone can harm one’s reputation, and the imposition of penalties can do long-lasting harm to your bottom line. By working with an experienced attorney, it is often possible to improve your prospects and avoid the worst potential consequences of a regulatory investigation.

Knowledge And Experience On Your Side

At Jenks & Harvey LLP, 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 every step 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.