Being the focus of a regulatory investigation – whether by the SEC, FINRA, or your state securities commission – can be a nightmare. The distraction from the demands for your time and for documents can be overwhelming, while the lack of a clear sense of who is on your side can be highly unsettling. Having your own attorney, one experienced with investigations and familiar with the industry’s myriad rules and regulations, can bring you some peace of mind as well as protect your reputation and livelihood.
If you are the subject of an informal or formal investigation, we would like to help. Contact The Prosser Law Firm for a free, informative consultation at 901-820-4433.