Are you subject to financial industry regulation and compliance by the SEC, FINRA, DTC, PCAOB or state securities regulators? If so, we can help with your registration, reporting and inspection requirements. We have over 30 years of combined experience in this area, representing financial industry professionals, accountants, issuers and investors in front of all of these agencies. In addition, we have developed relationships with skilled defense lawyers all over the country with expertise in all of these areas that can be brought to assist in your defense, if necessary. And, finally, we have a track record of insurance carrier approval to help pay for your defense.
See what some of our attorney’s have written:
- Bull’s-eye: Regulators Are Hunting, Is Your Company A Target?
- What Would Your Auditors Say About Your Financial Statements?
- Ethical Standards for Transactional Lawyers
- Proposed U.S. Labor Department Rule Would Broaden the Definition of “Fiduciary”
- Q&A with TLG’s Newest Lawyer, Elliott Taylor
- Broker-Dealer Know-Your-Customer and Suitability Obligations
- Broker-Dealer Due Diligence Responsibilities in Regulation D Offerings
- What if One of my Service Providers is Under SEC Investigation?
- The SEC Expands Its Subpoena Power
- Is the PCAOB Constitutional?
- The Long Arm of the (Securities) Law
- How to Choose a Corporate Securities Attorney
- And More.
References from past and current clients available.
The Lebrecht Group, APLC provides comprehensive advice on a variety of corporate and securities law matters. Please contact us if you have any questions.