If you or your company is facing an SEC, FINRA or NYSE investigation, here are two pieces of advice:
In order to limit the potential damage of an investigation, don’t make any statement, as you could inadvertently provide a lead for deeper investigation, or even ammunition against yourself.
Contact Illinois SEC attorney Nishay K. Sanan. He has the resources and capabilities to aggressively represent clients preparing for, or under SEC or another authority’s investigation for:
Mr. Sanan represents brokers, dealers, and other investment professionals in SEC, FINRA and NYSE investigations and enforcement proceedings. Investment professionals turn to Mr. Sanan to avoid suspension or loss of Series 7 licenses, or even incarceration.