Securities Litigation Attorney

My RIA Lawyer defends clients undergoing potentially damaging securities litigation.

Securities Litigation

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 attorneys can assist you through this challenging process. We are experienced in both civil and criminal securities litigation and tirelessly defend our clients.

We have two goals with securities litigation. First, we want to preserve your reputation. Second, we want to 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

My RIA Lawyer defends clients in a variety of cases. We represent clients who are facing issues related to:

  • Rule 8210 requests
  • On the record interviews
  • Wells notices
  • SEC and state Enforcement actions
  • Letter of acceptance, waiver, and consent
  • Registration and licensing matters
  • Investigations and actions initiated by the Certified Financial Planner Board of Standards

Statements Made During Investigations

Enforcement staff will question you during the investigation. They will likely use the investigative tactic of asking questions in different ways to get the answer they want. At the minimum, they hope to get you to admit that you didn’t follow guidelines and requirements. Sadly, many people get tripped up during questioning and end up admitting fault, even when innocent.

The enforcement staff also might ask questions that aren’t related to the current scope of the investigation. Your answers can allow them to broaden the investigation, turning something minor into a major issue.

A securities litigation attorney should be by your side during any and all questioning. Your attorney can provide guidance when answering questions and advise you when you should remain silent. Simply having an attorney present is often enough to prevent the enforcement staff from moving forward with the case. This is the best option for protecting your firm’s reputation and bank account.

Settlement Options

Your securities litigation attorney might recommend a settlement to avoid going to trial. Settling these cases can mitigate the reputation and financial impact of the claim. First, your lawyer might be able to help you enter a favorable settlement that doesn’t involve admitting fault. By agreeing to settle the claim, your attorney will also have some influence over how the SEC describes the alleged misconduct. This can help you maintain a stellar reputation.

Settling the case can also lessen the financial impact. Your securities litigation lawyer will fight for a fair settlement that leaves you on solid financial footing. If you think a settlement might be in your best interests, discuss your case with an attorney from My RIA Lawyer.

Narrow 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’re seeking. 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.

Ensure 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 the changes during the investigation can limit the fallout if the case goes to court. In fact, remedying the issues now might even help you avoid enforcement action and penalties.

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Why Choose My RIA Lawyer?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space. By focusing the firm on investment advisers, our clients receive specialized services and advice.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood.
  • Custom Solutions – You and your business are unique. That’s why we don’t use fill-in-the-blank form documents. Unlike non-attorney service providers, we customize documents for your business. Personal attention is central to our mission.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • Free Consultation – Take part in a free, 30-minute online strategy session to go over your case.
  • Satisfaction Guarantee – We are guaranteeing your satisfaction or you get your money back.

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