Securities

Although you may find headline-making securities violations on the front page after corporate executives plead guilty to federal fraud charges, many securities violations do not end in criminal charges.  Whether it’s the SEC, FINRA, or other regulatory agency, many of their investigations simply end in agreements to pay penalties and promise not to make the same mistakes twice. It is important to be proactive in these matters to address the allegations before they become more serious and limit exposure.  The Law Office of Stephen F. Hall has successfully represented corporate entities in securities enforcement actions and will be a strong advocate for you.