SEC Enforcement Actions
The Securities and Exchange Commission is the federal agency that’s responsible for overseeing the securities industry. The SEC enforces federal rules and regulations that govern the industry.
Many business owners and executives live in fear that they will run afoul of SEC’s complex rules. That’s why business leadership trusts the SEC attorneys at Breeding Olinzock Carter Crippen to provide protection and guidance.
How We Protect Our Clients
At Breeding Olinzock Carter Crippen, our SEC lawyers know how the people at the SEC think, work and prosecute. We have a track record of defending clients in a wide range of situations, including:
- Insider trading allegations
- Fraud allegations
- Allegations of manipulation of markets
- Allegations of broker and dealer abuse, including churning, unauthorized trading, misrepresentation and misappropriation
- Arbitration hearings and securities class actions.
If the SEC is investigating you, or if you believe you could be investigated in the future, contact Breeding Olinzock Carter Crippen.
How We Guide Our Clients
Working within the framework of SEC rules and regulations is not as easy as one would presume. The SEC presents multiple challenges to businesses that want to abide by the law:
- By their very nature, the SEC’s rules and regulations are complicated
- The SEC regularly changes how it interprets and enforces the law
- Congress is prone to make changes periodically to the law itself
At Breeding Olinzock Carter Crippen, our SEC enforcement lawyers closely monitor the SEC’s actions. Our experience enables us to interpret those actions and determine what it means for businesses. We use that information to help our clients make wise decisions.