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Securities Enforcement, Regulatory, and Broker-Dealer Matters

Doar Rieck Kaley & Mack represents clients in connection with 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 the filing of charges or the taking of regulatory enforcement action against our clients. We also have been successful at persuading prosecutors and regulators to drop previously filed charges altogether. 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 start-up company, and convinced the prosecutor to dismiss the indictment.

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.

In all of our securities engagements, we believe in thorough factual analysis, a full understanding of the legal issues, and vigorous advocacy.

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