Expert Legal Representation

Navigating the complexities of securities law litigation and FINRA (Financial Industry Regulatory Authority) investigations can be overwhelming. Our firm offers expert legal representation tailored to protect the rights of brokers, firms, and investors. Whether you are facing securities litigation, regulatory action, or an internal compliance issue, we stand ready to provide the aggressive advocacy you need to safeguard your interests.

Why Choose Our Securities Law Litigation Team?

At Randall & Associates, we specialize in representing clients in a wide range of securities-related disputes. Our team of highly experienced attorneys has a deep understanding of the laws and regulations governing financial markets. We represent clients in securities arbitration, civil litigation, and regulatory enforcement actions. Our goal is simple: to resolve disputes efficiently while minimizing financial and reputational damage.

Expertise in Securities Litigation

Our securities litigation services cover all aspects of disputes related to financial products and investments, including:

• Breach of fiduciary duty: Claims arising from financial professionals failing to act in the best interests of their clients.

• Securities fraud: Misrepresentation or omission of important facts during the purchase or sale of securities.

• Misconduct and negligence: Holding parties accountable for losses caused by unsuitable investment recommendations, unauthorized trading, and other forms of professional misconduct.

• Class-action lawsuits: We have extensive experience defending and prosecuting class actions related to securities fraud and other violations.

With a thorough understanding of state and federal securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934, we can help you navigate any complex litigation with confidence.

FINRA Investigations and Enforcement Defense

FINRA plays a crucial role in regulating broker-dealers and overseeing securities firms to ensure compliance with financial industry standards. If you or your firm is facing a FINRA investigation or enforcement action, it is essential to secure experienced legal representation as early as possible.

Our attorneys are well-versed in defending clients during FINRA investigations, including:

• Wells Notices: Responding to notifications that FINRA is considering recommending disciplinary action.

• On-the-record interviews (OTRs): Providing legal guidance and representation during formal investigative interviews conducted by FINRA.

• Enforcement actions: Defending against charges of rule violations and seeking to reduce or eliminate penalties, including fines, suspensions, or even expulsions from the industry.

We understand how damaging a FINRA investigation can be to your business and reputation. Our firm has a proven track record of resolving investigations favorably, often before they result in formal charges. We’ll help you navigate the process while keeping your career and business intact.

Our Approach: Protecting Your Rights, Reputation, and Future

Securities litigation and FINRA investigations require a thorough understanding of not only legal principles but also the financial markets. Our attorneys are dedicated to protecting your rights, reputation, and professional future. From pre-investigation counseling to defense in arbitration or court, we take a proactive and aggressive approach.

• Client-focused service: We work closely with you to develop a strategic plan tailored to your unique needs.

• Strong defense: Our lawyers are skilled litigators who know how to challenge evidence, negotiate settlements, and, when necessary, take cases to trial.

• Comprehensive understanding of securities law: We stay up-to-date on the latest developments in securities regulation to provide the most effective representation possible.

Common Questions About Securities Law Litigation and FINRA Investigations

What is the difference between FINRA arbitration and litigation?

FINRA arbitration is a private dispute resolution process for resolving securities-related disputes outside of court. Unlike litigation, arbitration tends to be faster and less costly. However, the decisions made in arbitration are binding and difficult to appeal. Our firm handles both arbitration and litigation and can help you determine the best path forward.

How should I respond to a FINRA inquiry or Wells Notice?

If you’ve received a FINRA inquiry or Wells Notice, it is critical to seek legal counsel immediately. Early intervention from an experienced attorney can often prevent further escalation. We can guide you through the process, prepare your responses, and ensure that your rights are protected.

What are my legal options if I’m facing securities fraud charges?

If you are accused of securities fraud, it’s essential to work with an attorney who has experience in both securities law and white-collar criminal defense. Our team will carefully review the allegations, gather evidence, and build a strong defense strategy aimed at clearing your name or minimizing penalties.

Contact Us for a Free Consultation

When facing securities litigation or a FINRA investigation, you need a law firm with the knowledge and experience to protect your interests. At Randall & Associates, we are committed to delivering exceptional service and results for our clients. Contact us today for a free consultation to discuss your case and learn how we can help you navigate this challenging time.

**Call 435 612-0422 or fill out our online contact form to schedule your consultation.