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SEC, FINRA And Texas And The 50 State Securities Commissions

Representation of clients in matters involving the SEC, FINRA and the Texas Securities Board and the remaining states investigating you and/or your business can be a cross between regulatory responses, civil trial and criminal defense.

The sale of a security in violation of the federal or state securities laws carries huge consequences. A person convicted of securities fraud could face up to 25 years in prison, substantial fines and severe civil sanctions and penalties as well. There is no discharge in bankruptcy for securities fraud. The Spencer Law Firm is experienced in working with these cases. The Spencer Law Firm has been lead counsel in developing responses to Wells Submission requests and response strategies for clients involved in alleged violations of the Securities Act of 1933, as amended and Securities Exchange Act of 1934 and other charges at the state level.

The Spencer Law Firm has organized and structured responses to enforcement, regulatory and/or criminal investigations that are being prosecuted by the Texas Securities Board, United States Justice Department, the Internal Revenue Service, the Harris County District Attorney, the New York District Attorney, the Florida Insurance Commission, various foreign state commissions, FINRA, (formerly NYSE and NASD) and SEC in regards to securities fraud allegations and felonies against representative clients. These issues can range from the very serious to the mundane FINRA rule violation that carries a reprimand as its most serious consequence.

The issues involving the SEC, FINRA and the Texas Securities Board play out in a number of different venues (i.e., administrative, federal court, state court and arbitration), and the attorneys of the Spencer Law Firm have experience in all of them. Let us help you by contacting us through our online form or calling us today at 713-568-9008.