When it comes to dealing with the U.S. Securities and Exchange Commission (SEC), even the most benign bumps in the road can have significant consequences. If inquiries or investigations lead to allegations of wrongdoing, the viability of entire businesses and individual livelihoods may be at stake. Abramson & Abramson represents investment and finance professionals and firms, including broker-dealers, investment advisers, stockbrokers, financial planners and others in regulatory administrative proceedings, and in federal court and in FINRA arbitration.
We have extensive experience advising plaintiffs and claimants as well as defendants and respondents in matters involving securities fraud, investment fraud and investment suitability. Our attorneys also represent clients in related broker-dealer disputes and Financial Industry Regulatory Authority (FINRA) arbitration.
If you have a dispute with a financial or investment professional, or if you are a financial or investment professional who has come under disciplinary or regulatory scrutiny, contact our attorneys to learn your options.