Securities Enforcement

SmithAmundsen attorneys handle investigations and cases brought by the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), regional exchanges, and state attorneys general and securities regulators. These matters range from informal inquiries and formal investigations to administrative proceedings, subpoena requests for documents, and settlement negotiations with regulators.

SmithAmundsen represents plaintiffs and defendants in a variety of litigated matters under all of the federal securities laws, including: the Securities Act of 1933, as amended; the Securities Exchange Act of 1934, as amended; the Investment Advisors Act of 1940, as amended; and the Investment Company Act of 1940, as amended.

Our firm represents corporations, partnerships, securities exchanges, broker-dealers and other securities professionals, directors, officers and other parties in class, derivative and other litigation involving charges of fraud, inadequate disclosure, violation of regulatory requirements, and breach of fiduciary duty.