Regulatory Compliance Attorneys Serving the Boston, Massachusetts Area
If you work in the securities industry, you may face accusations of securities fraud, violations of customer privacy rights and other regulatory compliance violations. The consequences of these allegations could be loss of your professional license and serious criminal liability.
At Seegel Lipshutz & Wilchins, we provide knowledgeable representation to stock brokers, securities analysts and other industry professional in a wide range of regulatory compliance issues. We are prepared to help you avoid the consequences that threaten your livelihood.
Contact us online or by telephone at 781-237-4400 to speak with an experienced Massachusetts regulatory compliance lawyer.
Have You Been Accused of an SEC Violation?
At Seegel Lipshutz & Wilchins, we represent securities professionals who are under investigation or facing potential penalties for violating SEC regulations. The system is designed to protect investors from fraud and corruption, but all too often, people who work in the securities industry find themselves under investigation for acts they did not commit.
We represent securities brokers and analysts, as well as officers and directors of securities firms who have been accused of:
- U-4 and U-5 violations
- Fraud
- Failure to supervise
- Breach of fiduciary duty
Our attorneys have extensive experience handling a wide range of securities law issues. We can help you make sure you are compliance with federal and state regulations as well as advocate for you if you are facing allegations of securities violations. We are intimately familiar with SEC rules and regulations and the process of securities arbitration and litigation. We will carefully investigate all aspects of your case to determine how to protect you from risk and liability.
Contact Us
If you have been accused of unsuitability, churning, fraud or any other securities violation, please contact us online or by telephone at 781-237-4400 to speak with an experienced Massachusetts regulatory compliance attorney. We serve clients from Wellesley, Cambridge and throughout the Boston metropolitan area.
