SEC, FINRA or NYSE investigations are complicated matters that can involve a range of violations of securities law. Anyone can be investigated by the SEC, FINRA, NYSE or the New York Administration Licensing Board. If a charge has been made or an investigation is underway, immediate help from a qualified lawyer can help limit the potential damage.
It is crucial not to discuss the matter with anyone but a skilled lawyer before making any potentially incriminating statements. As a lawyer with a strong accounting background and experienced in the nuances of law relating to the financial industry, Nishay K. Sanan, Esq., offers effective representation to uphold a clients' rights.
New York SEC, FINRA, NYSE Investigations Attorney
As standard practice, attorney Nishay K. Sanan uses an aggressive approach to attain justice for the wrongly accused of SEC, FINRA or NYSE violations. From more than 15 years of criminal defense work in the financial industry, he confidently resolves issues for clients that are under the SEC or another financial authority's investigation for:
- Churning
- Insider trading
- Misstatements on public financial reports and SEC filings
- Options misconduct
- Ponzi schemes
- Stockbroker embezzlement
- Stock manipulation schemes
- Unlicensed dealing in securities
Over the years of his accomplished legal history dealing with SEC, FINRA and NYSE investigations and enforcement proceedings, he has represented investment professionals, including brokers and dealers. During any licensing investigation, he understands the need clients have to avoid suspension or loss of Series 7 licenses, or even incarceration. His goal with every case is to uphold clients' rights and form an effective resolution.
Manhattan Stockbroker License Defense Attorney
Contact attorney Nishay K. Sanan, Esq., if you are under investigation or accused of SEC, FINRA or NYSE violations. Please call his Manhattan law office at 646-461-7564 or 888-335-6504 or send an e-mail. While initial consultations are free, clients may be asked to reimburse for travel expenses.
