Hafetz & Necheles LLP | Securities and Regulatory Investigations
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Practice Areas

Securities and Regulatory Investigations

Hafetz  & Necheles has extensive experience representing individuals in proceedings charging violations of the federal and state securities laws. We have successfully defended individuals against allegations of fraudulent practices, insider trading, market timing and late trading in mutual funds, false filings, improper sales practices, conflicts of interest by research analysts, improper trading by specialists in the New York Stock Exchange and fraudulent corporate transactions.

In addition to our extensive experience in cases involving potential criminal securities law violations, we have expertise in representing clients in administrative proceedings by the SEC and investigations by self-regulatory bodies such as FINRA, where the consequences of an investigation could mean the loss of a license or right to work in the securities industry. We know that these matters are high stakes as well, and we advocate, or litigate if necessary, aggressively to protect our clients’ interests.