Securities laws are extremely complicated at best. You need a strategic partner who understands the intricacies of enforcement actions and regulatory compliance. At Practus LLP, our Securities Enforcement & Regulation team has the legal experience and industry knowledge to help businesses and individuals effectively manage examinations, investigations, compliance challenges, and enforcement actions.
EXPERIENCE IN SECURITIES ENFORCEMENT
Our attorneys are skilled in addressing a wide range of securities enforcement matters, including:
- Representing broker-dealers, registered investment advisors, and funds in investigations and enforcement actions from regulatory agencies such as the SEC, FINRA, and state securities regulators
- Developing comprehensive compliance programs to ensure compliance with the securities laws plus prevent violations and mitigate risks
- Representing clients in administrative hearings, arbitrations, and federal and state court litigation
- Handling whistleblower claims and internal investigations with discretion and efficacy
WHO WE SERVE
We represent broker-dealers, registered investment advisers, public and private companies, funds, boards of directors, compliance officers, and individuals in the financial services industry. Whether you’re facing an enforcement challenge or seeking guidance to avoid one, our team delivers practical solutions that align with your business objectives.
WHY CHOOSE PRACTUS?
Practus LLP offers an innovative, technology-driven approach to legal services. Our virtual law firm model provides clients with high-caliber legal counsel that is both efficient and cost-effective. With a commitment to collaboration and tailored strategies, we are your trusted partner in securities enforcement and regulation.
