The Law Office of Edwin B. Kagan, P.A., based in Tampa, Florida, provides representation to individuals and businesses facing investigation from the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) or other state and federal agencies. Since 1988, we have been providing strong regulatory defense strategies for investigations related to securities fraud or other misconduct. In addition to representing those who are under investigation or have had actions filed against them, we also advocate for people who have been subpoenaed to submit evidence or act as witnesses during proceedings.
For more information on how we can help with your legal issue, contact us today.
Strong Representation From a Tampa Attorney
The SEC, FINRA and state regulatory agencies can conduct enforcement inquiries and institute actions against brokers, investment advisers and others in the financial industry for suspected fraud or misconduct. These types of investigations can potentially result in fines and other costly sanctions, which can be minimized with strong legal representation.
We are fully prepared to advocate for the best possible outcome for your situation, either through no formal action after an investigation, a satisfactory settlement or a positive result at the hearing.
To speak to an experienced Tampa regulatory investigation attorney about your legal matter, call us today at 813-666-0694 or toll free at 800-504-1336. To send an e-mail, please complete the secure online form on this website. We return all phone calls promptly and have an after-hours answering service to address any urgent needs. We are prepared to represent clients throughout Florida.