Securities laws are very strict, and that is for the protection of the investors. Brokers and others who are involved in the industry must ensure that they are acting in their clients’ best interests and not trying to further their own gains.
If you are accused of mismanaging client funds or other illegal behavior, you must ensure that you are reacting appropriately. You can’t let your anger get the best of you. Instead, you need to be proactive and get started on a defense plan. Don’t try to hide things or cover things up because you can face increased troubles if you aren’t being fully transparent; however, make sure that we are by your side if you must speak with investigators or handle anything related to the matter.
The way that you handle your defense has to be tailored not only to the type of accusations you are facing but also to the agency that is investigating the matter. We work with clients who are facing investigations from the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Kentucky Department of Financial Institutions, the New York Stock Exchange and the Colorado Division of Securities. We also handle cases that are being heard in federal or state courts.
When you are thinking about your defense in these cases, remember that you have to consider how certain things will appear. Is it possible that someone is going to misconstrue the purpose of your actions? Is there a way to show what your goal was for certain decisions you made? These questions might help us formulate a strategy for your case that works to address the points the prosecution is raising against you.