A wise course of action for those who are being investigated by the SEC, FINRA or NYSE is to obtain an experienced defense attorney immediately. These regulatory organizations will seek information about you and statements from you. Do not say anything without consulting with a lawyer.
Bachner & Associates, P.C. has more than two decades of experienced defending brokers and securities professionals. To schedule a consultation at our offices in the heart of New York City's Financial District, call us at 917-639-5370 or toll-free 877-388-6461 or send us an email.
Securities Violations And Investigations
Securities professionals facing fraud investigation and arbitration before the New York Stock Exchange (NYSE), the Financial Industry Regulatory Authority (FINRA) or those prosecuted by the Securities and Exchange Commission (SEC) you can feel confident that the legal firm to call is Bachner & Associates. Our firm serves stockholders and stockbrokers across the nation and around the world.
Our legal team has a wealth of in-depth experience in prosecution and defense for stockbroker fraud and other securities matters. Both of the partners in our firm formerly served as in-house counsel for member firms of the New York Stock Exchange providing an insider's perspective into fraud investigations pertaining to:
- Insider Trading
- Unauthorized Trading
- Stock Market Manipulations
- Margin Violations
- Stock Fraud
- Breach of Fiduciary Duty
Experienced Representation Is Crucial
Fraud investigations are civil matters that can result in complaints being filed in federal court as well as administrative hearings. During investigations, you will be questioned by regulatory officials and possibly by the media. Even if you have nothing to hide, do not say anything without counseling from our firm.
Statements you make may be construed as obstructing justice and can be used as evidence in a criminal prosecution. In addition, statements made to in-house counsel by an employee are generally not covered by the attorney-client privilege since the in-house counsel represents the firm and not the employee. It is generally in the employee's interest to hire separate counsel prior to being interviewed by in-house counsel.
Schedule A Consultation With Bachner & Associates, P.C.
Call us at 917-639-5370, or toll free at 877-388-6461, to discuss your fraud investigation or any other securities matter. You can also contact our Manhattan office online, and a representative from the firm will be in touch with you shortly.