Government Investigations and Enforcement Proceedings
Our lawyers serve as counsel in a broad array of federal, state and self-regulatory organization investigations and enforcement actions. They have substantial experience representing companies and their directors, officers, employees, and registered firms and individuals before the SEC, FINRA, and the Arizona Securities Division, Department of Insurance, Department of Financial Institutions, Attorney General’s Office, and other federal and state agencies in Arizona and elsewhere.
Representative matters include:
- Defense of Investigations Concerning Potential Violations of SEC and State Securities Statutes and Regulations
- Defense of Investigations Concerning Potential Violations of FINRA Rules and FINRA Initiated Disciplinary Proceedings
- Defense of Investigations Concerning Potential Violations of Securities, Insurance, Real Estate, Banking, Mortgage Banker and Broker Statutes and Regulations, and Agency Initiated Litigation and Proceedings
- Defense of SEC Investigations, and SEC Initiated District Court Litigation and Administrative Proceedings
- Defense of Agency Investigations and Proceedings to Deny, Suspend or Revoke Licenses and Registrations
- Defense of Claw Back Actions by Agencies and Receivers
Paul Roshka has become a go to source for law firms and companies in need of independent counsel to conduct internal investigations. And, when the need arises, Paul and the team of JHC Securities Litigators, who include T.J. Mitchell and Alana Porrazzo, provide separate representation for directors, officers and employees.
Contact the Government Investigations and Enforcement Proceedings lawyers at Jennings Haug Cunningham. We serve businesses and individuals throughout the state of Arizona, including greater metropolitan Phoenix, Tucson, Flagstaff, Yuma and Prescott.