North Carolina SEC & FINRA Dispute Attorneys.
Such events as the Enron debacle, the Madoff scheme, and other Ponzi schemes have unfairly tainted the entire financial investment industry. The SEC and FINRA are under increased pressure to find wrongdoing. Rules governing securities law continue to evolve, and there are many times when an executive, broker or other securities professional, or accountant is unaware that the action that he is taking may indeed be a violation of civil or criminal law. And, increasingly, executives and securities professionals have not violated any law, but are improperly targeted by civil "strike suits" by predatory plaintiff's attorneys or criminal investigations and actions by well-intentioned but overly-zealous government agents.
At Anderson Terpening PLLC, in North Carolina, we handle securities litigation and securities criminal defense for individual and corporate clients across the nation. Our team of four lawyers is equipped to protect your rights in complex civil and criminal securities matters (see our recent case results).
Comprehensive Securities Legal Counsel.
We are experienced securities litigation attorneys. One of our lead attorneys, who regularly writes on SEC litigation and other business and legal matters, just published an article that offers seven tips of actions that businesses need to avoid in order to stay out of civil or criminal courts. Read more.
We handle:
- Broker-dealer disputes and broker-investor disputes
- FINRA and SEC investigations
- Federal securities division matters
- Insider trading and proxy issues from the civil and criminal side
- Private Shareholder litigation
- Misrepresentation
- Fraud and federal defense
Another issue of concern with SEC-related matters, is that the SEC may decide not to pursue a civil suit. However, this does not mean that their officials will discard your file. They may transfer that evidence to federal criminal prosecutors. It is wise to obtain lawyers who understand both civil and criminal laws, so that every potential liability issue is covered at every single stage of your legal matters.
Contact us online or call 704-315-2495
After Hours 704-787-3091
