SEC Defense Lawyer

Mangum & Associates PC will represent you in almost any federal or state SEC investigation, civil or criminal enforcement action, or litigation that arises from your investments, including fraud or market manipulation cases, corporate governance litigation, insider trading or investor disputes, or investment disclosure and communication.

We also have substantial experience in internal investigations and correspondences with the SEC, FINRA, NYSE, NASDAQ, and other major government agencies. Our securities group remains current on the ever-changing regulatory environment and will provide our range of clients with the best possible solutions to these matters.

SEC Defense Lawyer

Strategic Responses to SEC Investigations and Actions

Mangum & Associates understands the complexities of the modern securities industry. You need to navigate a minefield of legislation and manage a rapidly changing regulatory environment. Mistakes can happen.

When the SEC or another regulatory agency initiates an investigation or legal action, you cannot ignore or avoid the issue. Instead, you need a comprehensive legal strategy that protects your interests and aims to minimize any potential damage. When you work with our SEC defense team, we will educate you about the laws that impact your case, assess all of your potential defenses, and build a strategy that is aggressive and reflects both your immediate and long-term goals.

We assist clients with matters involving:

  • Anti-money laundering laws and regulations
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Financial Industry Regulatory Authority (FINRA) matters
  • Foreign Corrupt Practices Act (FCPA)
  • Insider trading allegations
  • Investment Advisers Act and Investment Company Act
  • Office of Foreign Asset Control (OFAC)
  • Sarbanes-Oxley Act of 2002
  • SEC disclosure and Blue Sky law violations
  • Securities Act of 1933
  • Securities Exchange Act and Commodity Exchange Act
  • Whistleblower actions

Our SEC defense team has extensive experience handling regulatory investigations, arbitration, and both civil and criminal cases.

A Rapidly Changing Legal Environment Demands Attention to Detail

After the Financial Crisis of 2008, lawmakers, the SEC, and other agencies took a hard line on consumer protection and securities violations. Today, we have a broader array of laws and securities regulations that control broker-dealers, investors, businesses, and others involved in the issuing and sale of securities.

We understand that your unique circumstances merit a customized defense strategy that focuses on minimizing the impact of the SEC’s investigation or legal action. Rather than follow boilerplate, one-size-fits-some defenses, our securities lawyers work closely with our clients and dig deep into the details of your case. We pride ourselves on our attention-to-detail and exceptional client service.

Our clients benefit from personalized attention and practical advice. When you work with our SEC defense team you will receive:

  • Education about the laws and regulations involved in your case
  • An assessment of both how and why you came under SEC scrutiny
  • Clear explanations of your potential defenses and legal options
  • Aggressive defense strategies that focus on your personal goals
  • Careful monitoring of the investigation and consistent communication

An SEC violation or conviction can cause irrevocable damage. It is our goal to reduce or eliminate this harm and protect our clients’ interests.

To learn more about our approach to SEC defense, contact Mangum & Associates today. Our team will give you the time you deserve and help you understand your potential next steps during this tense and difficult time.

SEC defense lawyer


Take Back Control During a Disciplinary Action or Investigation

An SEC or other regulatory investigation is undeniably stressful. You and your organization might face severe penalties, fines, and potentially jail time. An investigation can also erode your reputation and the goodwill that you’ve built within the industry and among investors.

With so much at stake, it’s in your best interest to consult with an experienced SEC defense team. Mangum & Associates is the country’s premier, boutique securities law firm. Our clients can rest assured that our SEC defense attorneys are carefully monitoring their SEC investigation and crafting a response that is tactical and client-focused.

Just as importantly, our SEC defense lawyers are strong communicators. We want our clients to understand how they came to the attention of the SEC or other regulatory agency, how they can prevent future issues, and the potential impact of a conviction or disciplinary action. Simply put, knowledge is power.

However, you need to act quickly. The longer you wait to consult with an SEC defense lawyer, the more difficult your case may become. As time passes, you may lose out on valuable defenses. You may also make costly mistakes that damage your credibility and legal assertions. Ideally, you want an SEC defense attorney from Mangum & Associates guiding your defense strategy from Day One of the investigation, building your legal arguments and aiming to reduce your liability from the very beginning.

Audit Your SEC and Blue Sky Law Compliance

While any regulatory investigation or disciplinary action requires your immediate attention and assistance from an experienced SEC defense attorney, we strongly encourage our clients to take a proactive approach to securities law compliance. In addition to SEC defense, we can guide you through a detailed audit of your operations that assesses your legal compliance. Based on our comprehensive review, we help our clients build risk management systems that reduce their exposure during an SEC or other investigation.

If you would like to learn more about our SEC compliance services, contact Mangum & Associates today. We’d love to learn more about your situation and help you get a deeper understanding of your compliance gaps as well as the benefits of risk management.

Consult With Mangum & Associates’ SEC Defense Lawyers

Mangum & Associates is a full-service securities law firm that assists its clients with SEC defense. Our attorneys assist organizations and individuals with securities law compliance and aggressively defend their interests during investigations and SEC actions. If you would like a no-risk, confidential assessment of your situation, contact Mangum & Associates for more information.