1636 North Swan Road | Suite 200 Tucson, AZ 85712-4096 CALL FOR A CONSULTATION
520-319-1200

Knowledgeable Arizona Attorneys For Securities Investigations and Regulations

In today’s complex business world, there are a growing number of financial landmines that must be properly navigated in order to avoid disputes over securities. The financial world of securities trading is overseen by both state and federal agencies charged with regulating securities exchanges, brokers, dealers, and investment advisors. The Tucson securities defense lawyers of Heurlin Sherlock represent individuals, corporations, officers, brokers, dealers and investment firms in securities litigation brought by financial regulators such as the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and various state agencies. They also offer defense counseling for those facing criminal allegations from the Department of Justice (DOJ) in relation to securities trading. The Arizona lawyers of Heurlin Sherlock can help you navigate the complexities of securities regulations and protect your interests when faced with an investigation.

Federal and State Securities Regulators

The federal Securities and Exchange Commission (SEC) operates to protect investors by promoting accurate investment information, supporting fair dealing and acting against investment fraud in order to maintain orderly markets. Its rules require public companies to disclose meaningful financial information to the public regarding their operations. The SEC initiates hundreds of civil enforcement measures against individuals and companies for violating securities laws which include insider trading, accounting fraud, and providing false or misleading financial information.

In addition to civil actions brought in U.S. District Court, the SEC can also seek an administrative action with an Administrative Law Judge. Administrative sanctions can include the suspension or revocation of broker-dealer and investment advisor licenses, barring individuals from the securities industry, civil penalties and other punishments.

Arizona also regulates the securities industry at the state level through the Securities Division of the Arizona Corporation Commission (ACC). The ACC can impose its own set of civil penalties, liabilities and license revocations for various fraudulent practices concerning the purchase or sale of securities, misrepresentation in company filings, unlawful referral fees or other similar actions.

The Importance of Seeking Qualified Attorneys During Securities Investigations

With such high stakes on the line during an investigation from either the SEC or ACC, no one should attempt to deal with these regulatory agencies on their own. Heurlin Sherlock has extensive experience in working with the SEC and ACC. We understand how these agencies work and how they implement their unique rules, practices, and customs.

The Arizona firm of Heurlin Sherlock provides the necessary experience and effective legal counseling gained from handling complex cases brought by security regulators. We have an extensive track record representing corporate officers and directors in complex investigations, injunction actions, informal enforcement inquiries, and administrative proceedings. Our securities law attorneys have successfully protected the interests of clients in wake of the increasing set of regulations of this field such as the recent federal Sarbanes-Oxley Act and Arizona’s Investment Management Act.

Contact SEC and Securities Defense Lawyers

If you or a company representative stands accused of securities or accounting fraud, unregistered offerings, false certifications, insider trading, willful filing violations or any offense as it relates to financial securities, our team of attorneys can advise you and make certain that your rights are protected.

If you are facing an investigation by the SEC, Arizona Corporation Commission or any other agency dealing with securities regulations, contact the experienced Tucson attorneys at Heurlin Sherlock today.