Helping Clients Take Swift, Wise Action During Federal Investigations

SEC, FINRA and 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 his clients’ rights.

A Creative, Effective New York SEC, FINRA and 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. With more than 15 years of experienced handling federal financial crimes throughout the U.S., he can step in and protect your rights if you are facing federal 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

Mr. Sanan has represented investment professionals, including brokers and dealers, in SEC, FINRA and NYSE investigations and enforcement proceedings. During any licensing investigation, he understands the need clients have to avoid suspension or loss of Series 7 licenses, or even incarceration. As part of his full-service representation, Mr. Sanan represents clients in any administrative hearings or civil matters that may accompany criminal charges.

Manhattan Stockbroker License Defense Attorney

If you are under investigation for SEC, FINRA or NYSE violations, reach out to Nishay K. Sanan as soon as possible. Please call his Manhattan law office at 312-692-0360 or 888-335-6504. You can also contact his law firm online. While initial consultations are free, clients may be asked to reimburse for travel expenses.