Chicago Lawyer Handling SEC, FINRA & NYSE Investigations

Illinois Stockbroker License Defense Attorney

If you or your company is facing an SEC, FINRA or NYSE investigation, here are two pieces of advice:

  1. Do not talk to anyone about it without first consulting a defense lawyer.
  2. Consult that defense lawyer today.

In order to limit the potential damage of an investigation, don't make any statement, as you could inadvertently provide a lead for deeper investigation, or even ammunition against yourself.

Contact Illinois SEC attorney Nishay K. Sanan. He has the resources and capabilities to aggressively represent clients preparing for, or under SEC or another authority's investigation for:

  • Churning
  • Insider trading
  • Ponzi schemes
  • Options misconduct
  • Stockbroker embezzlement
  • Stock manipulation schemes
  • Unlicensed dealing in securities
  • Misstatements on public financial reports and SEC filings

Mr. Sanan represents brokers, dealers, and other investment professionals in SEC, FINRA and NYSE investigations and enforcement proceedings. Investment professionals turn to Mr. Sanan to avoid suspension or loss of Series 7 licenses, or even incarceration.

Contact Us

Quick Contact

  • The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.