Services

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S.E.C. Investigations & Enforcement

• Informal Investigations

 

• Formal Investigations

 

• Obtaining and Analyzing the Formal Order of Investigation

 

• Guidance in Response to S.E.C. Supoenas

 

• Rights of Witnesses in Investigative Testimony

 

• Well Submissions

 

• S.E.C. Enforcement Actions

 

• Broker/Dealer Disciplinary Actions