Our legal practice focuses exclusively on securities law and the range of regulatory requirements in this field. We have worked 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, stockbrokers, registered representatives, financial planners, and insurance agents.
We handle a wide range of securities law matters. Our representation of investors helps 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. When enforcement actions occur, we defend members of the securities industry.
If you have a matter involving the financial services industry, we know how to help. We keep abreast of the rapid changes in securities law and industry practices.
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.
Our legal practice includes working with regulatory requirements imposed by the SEC, FINRA, MSRB, CFTC, FMA, DOJ, 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.
Have a securities case that needs resolving? Give us the facts and we will take care of the rest. To learn more, call us 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.