NYC Securities Lawyer

In recent years, the legal landscape of securities regulation shifted increasingly from administrative sanctions toward civil and criminal prosecution. New York securities lawyers at Tacopina Seigel & Turano, P.C. represent clients in cases involving brokerage audits, alleged securities fraud, disciplinary actions, and civil arbitrations. The firm extends its legal services to corporations, broker-dealers, investment advisers, and individuals to protect their interests in matters brought before the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Department of Justice (DOJ), state regulatory agencies, and various federal and state courts.

Brokerage firm and affiliated entities fraud

Securities fraud points to deceptive practices, whether false financial information, insider trading, embezzlement, or illegal trading activities. Attempts to manipulate the markets through abusive short selling, ponzi schemes, and watered stock are also types of securities fraud.

In most criminal cases, securities fraud penalties have doubled. Despite that fact, New York securities attorneys still often have an advantage because the burden of proof remains a significant obstacle for many prosecutors. Proving securities fraud requires proving intent, which demands extensive investigation and information gathering on the part of the investigating authority. Such investigation frequently goes on for years. Retaining an experienced securities attorney at the outset of investigation is often the best defense for those being targeted.

Stock brokerage compliance and audits

At Tacopina Seigel & Turano, our securities lawyers in New York work with clients in a legal advisory capacity to ward off investigations and brokerage audits. Government demand for greater transparency and disclosure makes regulatory compliance extensive and challenging in the financial industry, especially for newly formed and registered brokerages and affiliated entities. In addition to ensuring a sound legal basis in company formation, we work closely with companies to ensure regulatory compliance, which may involve developing written policies and procedures, codes of ethics, anti-money laundering procedures, conducting internal audits, or incorporating compliance training and testing.

In the event of an audit or disciplinary action, we offer savvy legal advice throughout the proceedings.

Regulatory disciplinary actions, arbitrations, and litigation

For effective defense against customer claims or in SEC and FINRA disciplinary hearings, clients can rely on an experienced New York securities attorney at Tacopina Seigel & Turano. Our firm’s sought-after legal advice and representation is noteworthy, and our New York criminal attorneys frequently appear on well-known media outlet programs to provide legal analysis.

To arrange an appointment, call 212.227.8877 or contact us online.