Securities Enforcement

The attorneys at Spears & Imes have defended scores of individuals and institutions in investigations by the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), and other regulators.  As with our criminal representations that were concluded with no charges being brought, many of our representations in the securities enforcement area have been concluded with no action being taken by regulators and no public allegations of wrongdoing against our clients. However, we have also represented clients in trials in the U.S. district courts in cases brought by the SEC and in administrative trials before the SEC and FINRA. We have achieved very favorable results for our clients in those proceedings. Chambers has recognized the firm’s “extensive securities enforcement practice, with experience in defending against diverse FINRA and SEC proceedings” and has noted the firm’s “significant expertise in assisting individuals with complex investigations conducted by regulators across several jurisdictions, as well as advising a range of institutional clients.”