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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 Carter to provide protection and guidance.

How We Protect Our Clients

At Breeding Carter, 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:

If the SEC is investigating you, or if you believe you could be investigated in the future, contact Breeding Carter.

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 Carter, 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.

Put Your Faith In Us

For more information about how we can help you with SEC issues, or to schedule a consultation with our SEC lawyers, call our Knoxville offices at 865-670-8535 or fill out our contact form.