FINRA Actions


State and federal agencies such as FINRA and SEC have their investigative and enforcing actions continue uninterrupted.

Many of the firm’s attorneys in the area of White Collar Defense and Investigations have counseled numerous clients in the course of securities investigations and actions, often in collaboration with their corporate colleagues. From litigation to complex investigations to preventative compliance, MAH Advising represents investors and companies in all capacities related to securities law. Among the matters in this category are the following:

  • Assisted a broker-dealer in a state regulatory action alleging violations of microcap stock rules.
  • Involved in a SEC enforcement and investigation  proceeding pertaining to a public company.
  • Conducts a review and revision of written supervisory procedures for brokerage firms and investment advisers.
  • Representative of hedge fund employees in parallel proceedings concerning securities fraud as part of SEC enforcement actions.
  • Concerning a SEC enforcement action involving fund valuations, we represented a hedge fund manager.
  • SEC investigations regarding insider trading and civil actions brought against individuals in connection with those investigations.
  • Represented individuals in cases involving allegations of broker-dealer and trading violations by FINRA and state regulators.
  • Acted as agent’s counsel in SEC complaint regarding fair fund distribution.

Our client’s well-known track record shows that MAH Advising has successfully closed investigations without escalating a complaint. Our communications with the SEC and SRO staff has led to the reversal of preliminary enforcement recommendations. In situations where settlement is not desirable, we offer clients considerable trial and appeals experience where necessary. MAH Advising has assisted clients in settling favorable settlements with regulators to avoid litigation and adverse publicity.

Disclaimer: We are consultants, not lawyers, this is not legal advice. We work with the top law firms when the practice of law is required.