Our legal practice focuses exclusively on securities law and the range of regulatory requirements in this field. We have been helping to maintain the integrity of the securities market for more than 30 years, both in assisting the industry with regulatory, compliance and enforcement issues, as well as recouping investor losses from dishonest financial advisors, stock brokers, registered representatives, financial planners and insurance agents.
We handle a wide range of matters concerning securities law. Our representation of investors is designed to help investors recover losses from negligent, illegal, dishonest and fraudulent activities of unscrupulous financial advisors.
We also help investment advisors, investment companies, hedge funds, municipal advisors, broker-dealers and registered representatives with registration, regulatory issues and ongoing compliance, as well as defending them in enforcement actions when necessary.
If you have a matter involving the financial services industry, we know the regulations. We keep abreast of the rapid changes in securities law and industry practices.
What We Provide
We help our clients and listen to what they need. If they are the victims of securities fraud, we fight to help them get their money back.
We also work with securities professionals in complying with regulatory requirements of the SEC, FINRA, MSRB, CFTC, FMA, state agencies and the range of entities governing conduct in the securities industry. We also provide legal counsel and defense against investigations and enforcement actions.
All communications with us are confidential, from the first telephone call or meeting.
When it comes to matters involving securities law, ignorance is no defense. We are committed to educating our clients, by helping them understand how to stay within the law, to recognize problems, and to consult us with their concerns.
We provide comprehensive advice on compliance with regulatory requirements or represent you in one specific matter. To bolster the integrity of your compliance program, we help you develop checks and balances within your operations and governance. For example, if legal counsel to a mutual fund’s board of directors also provides advice to the investment advisor to the mutual fund, you should be aware the legal counsel’s obligation is to the board, not the investment advisor. Retaining the services of our firm for your compliance needs gives you independent advice benefiting you and your needs.
Contact Us For Investor Representation And Securities Law Counsel
Have a securities case that needs resolving? Give us the facts and we will take care of the rest.To learn more, call us at 913-648-9225 or contact us online to schedule a free initial consultation. From our location in the metropolitan Kansas City area, we provide representation to clients nationwide.