New York Securities Violations and Investigations Lawyers
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 be seeking information about you and statements from you. Do not say anything without consulting with a lawyer.
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. With offices in New York and New Jersey, 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
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.
Contact Bachner & Associates
If you have any further questions pertaining to fraud investigations, or if you would like to speak with one of our attorneys regarding another securities matter, contact our Manhattan office. A representative from the firm will be in touch with you shortly. We look forward to hearing from you. To learn more about our defense practice, visit our White Collar Criminal Defense page.