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My RIA Lawyer defends clients undergoing potentially damaging securities litigation.

Securities Litigation Attorneys

What starts as a simple document request or deposition can quickly escalate into a formal investigation. At this point, the government has likely been building the case for months or even years, and everything you say can and will be used against you.

As terrifying as this is, help is available. Our securities litigation lawyer can assist you through this challenging process. At My RIA Lawyer, we are experienced in both civil and criminal securities litigation and tirelessly defend our clients.

We have two goals with securities litigation: to preserve your reputation and help you avoid substantial damages that could bankrupt your business. Contact us today to discuss your case and strategies for moving forward.

Securities Litigation Services

At My RIA Lawyer, our skilled securities litigation attorneys are dedicated to providing robust defense and representation for clients facing various securities litigation cases. With a deep understanding of the complexities of the financial industry and a commitment to upholding our client’s rights, we offer comprehensive assistance in various matters, including:

Rule 8210 Requests

Our experienced team adeptly handles Rule 8210 requests, safeguarding our client’s rights and interests. We recognize the significance of responding effectively to such requests and work diligently to navigate these challenges.

On-the-Record Interviews

Navigating on-the-record interviews demands precision and legal acumen. Our securities litigators have a proven track record of guiding clients through these interviews while upholding their rights and mitigating potential risks.

Wells Notices

Receiving a Wells notice can be daunting, but with our seasoned legal team, clients receive adept guidance on responding. We understand the intricacies of Wells notices and employ strategies to protect our client’s interests.

SEC and State Enforcement Actions

Facing SEC and state enforcement actions requires a strategic approach. Our securities litigators possess in-depth knowledge of the regulatory landscape and provide vigorous representation, aiming to achieve optimal outcomes for our clients.

Letter of Acceptance, Waiver, and Consent

Our attorneys assist clients in comprehending the implications of letters of acceptance, waiver, and consent. We strive to secure favorable outcomes while navigating the intricate legal nuances associated with these letters.

Registration and Licensing Matters

RIA registration and licensing matters are pivotal to maintaining compliance within the financial industry. Our legal team ensures that clients’ registration and licensing processes are handled meticulously, safeguarding their ability to operate within regulatory parameters.

Investigations and Actions by the Certified Financial Planner Board of Standards

Our experience extends to representing clients facing investigations and actions initiated by the Certified Financial Planner Board of Standards. We provide insightful guidance and zealous advocacy to help clients navigate these challenging situations.

How Our Securities Litigation Attorney Helps You

Our attorneys specialize in securities litigation, offering guidance, advice, and representation. We have a deep understanding of securities laws and a wealth of experience. We are committed to protecting your rights and helping you navigate the complexities of this legal area. Here’s how we help you.

Navigating Enforcement Staff Questions

When facing an enforcement staff questioning during a securities litigation matter, having a skilled securities litigation lawyer by your side is crucial. These experienced trial lawyers are well-versed in navigating securities litigation cases in state and federal courts, including the district courts such as the Southern District of New York. They handle securities class action lawsuits, securities claims, and regulatory investigations related to securities fraud and violations of the Securities Exchange Act.

During questioning, the enforcement staff may employ various tactics to elicit specific answers that could harm your case. They may try to get you to admit non-compliance with guidelines and requirements, even if you are innocent. Additionally, they may ask unrelated questions in an attempt to broaden the scope of the investigation. Having a knowledgeable securities litigation attorney present can protect you from falling into these traps and inadvertently admitting fault.

The presence of a securities litigation attorney can often deter the enforcement staff from pursuing the case further. This is essential for safeguarding your firm’s reputation and financial well-being. The attorney will provide guidance on how to answer questions effectively and advise you on when it is appropriate to remain silent.

Reviewing Settlement Options

Sometimes, your securities litigation attorney may recommend settling the claim to avoid going to trial. Settling can help mitigate the reputational and financial impact of the claim. Your attorney can negotiate a favorable settlement that does not require admitting fault and can influence how the Securities and Exchange Commission (SEC) describes the alleged misconduct. This can help preserve your firm’s reputation.

Furthermore, settling the case can minimize the financial impact. Your securities litigation lawyer will advocate for a fair settlement that leaves your firm stable financially. If you believe a settlement may be in your best interests, it is advisable to discuss your case with an attorney from a reputable law firm specializing in securities litigation matters.

Narrowing The Scope Of The Investigation

Your securities litigation attorney can help you narrow the scope of the regulator’s investigation. The attorney can discuss the investigation with enforcement staff to find out what information they seek. Then, your attorney can advise you on the documents you must provide for the investigation. This is much easier than providing massive amounts of documents. It also prevents the SEC from getting documents that could cause them to widen the investigation.

Ensuring Compliance

A securities litigation attorney from My RIA Lawyer can also help you fix any compliance issues during the investigation. Your attorney can review all of your processes and recommend changes. Making changes during the investigation can limit the fallout if the case goes to court. Remedying the issues now might even help you avoid enforcement action and penalties.

Contact Our Securities Litigation Attorneys Today

Navigating securities litigation requires expertise and guidance to protect your firm’s reputation and financial standing. Our seasoned securities litigation attorneys at My RIA Lawyer are here to provide you with unparalleled support and representation.

Don’t let the complexities of securities litigation overwhelm you – our professionals are ready to stand by your side. Contact us today for a consultation and take the first step toward safeguarding your firm’s interests.

Not your daddy's law firm

How we're different

We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.

We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.

But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.

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“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.

— Leila Shaver Founder

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