Investigation by the Securities and Exchange Commission
The lawyers of Burke, Harvey & Frankowski closely follow Securities and Exchange Commission (SEC) investigations and other regulatory actions in order to provide the most up-to-date guidance for consumers who have been harmed by investment fraud and misconduct. We represent clients in individual and multi claimant actions.
When a Securities and Exchange Commission investigation is launched, there may be a flood of investors seeking to recover funds through financial litigation or securities arbitration. An individual or family whose investments have been wiped out may feel lost or confused by the process.
Our experienced securities attorneys offer sound legal advice and experienced, dedicated advocacy for consumers who have suffered due to stock broker misrepresentation or illegal practices on the part of financial institutions in Alabama, Georgia, Florida and nationwide.
To discuss a particular Securities and Exchange Commission investigation, any current or pending civil litigation and the impact these may have on your case, please contact us today.
Beyond the SEC
In addition to the Securities and Exchange Commission, the following regulatory agencies may conduct investigations into allegations of broker fraud and other violations of securities law:
- FINRA (Financial Industry Regulatory Authority)
- U.S Commodity Trading Futures Association
- NASAA
- Alabama Securities Commission
- Florida Office of Financial Regulation
- Georgia Securities Division
- Mississippi Business Regulation and Enforcement Division
- Tennessee Department of commerce and Insurance
State governments maintain their own “Blue Sky laws” and agencies to regulate securities brokers and to investigate allegations of fraud or wrongdoing. Our capable securities attorneys are intimately familiar with these laws in the states our firm serves: Alabama, Georgia, Florida and Tennessee.
Contact Burke, Harvey & Frankowski
If you believe you were a victim of portfolio pumping, illegal short selling, market manipulation, general securities fraud or a Ponzi scheme currently under investigation by the Securities and Exchange Commission or another state or federal agency, we invite you to call our offices in Birmingham at 205-588-4052 or toll free at 888-880-9046 to schedule a free consultation with an accomplished Alabama securities arbitration lawyer. You may also contact us by e-mail for a prompt response to your important questions or to request a case evaluation.
