Trusted Advocacy For Securities Enforcement, Regulatory And Broker-Dealer Matters
The attorneys at Doar Rieck Kaley & Mack represent clients receiving investigations and charges of securities fraud and alleged regulatory violations. These matters include enforcement proceedings brought by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), as well as state regulatory authorities.
Our primary objective is to avoid charges or regulatory enforcement action against our clients. We also have been successful at persuading prosecutors and regulators to drop previously filed charges altogether. In addition to securities fraud matters and enforcement proceedings, we counsel clients, including traders and portfolio managers, on securities regulatory, legal and compliance issues. We commence and defend securities arbitrations in connection with suitability and other broker-customer cases, and matters involving securities industry employees and their firms.
A Track Record Of Success
We represented a specialist broker on the floor of the New York Stock Exchange (NYSE) who was charged criminally with securities fraud and persuaded the U.S. attorney’s office to drop its criminal prosecution of our client. We also successfully represented an individual indicted by a state securities prosecutor of committing fraud in connection with the sale of stock shares in a startup company and convinced the prosecutor to dismiss the indictment.
Benefit From Our Approach
In all of our securities engagements, we believe in thorough factual analysis, a full understanding of the legal issues and vigorous advocacy. Get in touch with Doar Rieck Kaley & Mack at 646-396-5439 or online to schedule a consultation regarding your legal issue.