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Securities & Exchange Commission (SEC) |
877-838-8464 |
Definition: The SEC is an independent agency of the United States government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets. | |
Featured
Securities & Exchange Commission (SEC)
Case Studies
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Featured
Securities & Exchange Commission (SEC) Experts |
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An applied investments expert was needed for a breach of trust action alleging mismanagement of trust fund investments comprised of fixed income investments. Broker-Dealer Regulations Expert A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case. Brokerage Compliance Expert in Distressed Debt A brokerage compliance expert with distressed debt experience was needed for an insider trading case. Brokerage Management Expert in Securities Trading A brokerage management expert with large brokerage firm and risk management experience was needed for a professional malpractice dispute. Call Center Operations Expert in e-Commerce Customer Support A call center operations expert with experience in e-Commerce customer support was needed for a bankruptcy case. Fiduciary Duty Expert in Collateralized Debt Obligations A fiduciary duty expert in fiduciary duty securities law and disclosure obligations was needed for arbitration in a failure to disclose issue. Financial Restructuring Expert in Judgments and Indebtedness A financial restructuring expert in judgments and indebtedness was needed for a case seeking recovery of economic damages. Investments Expert in OTC Stock Trading An investments expert in OTC stock trading was required for an arbitration matter before the NASD. Legal Ethics Expert for Securities Litigation A legal ethics expert was needed for securities litigation where the plaintiffs were suing their legal counsel over monies lost in a Ponzi scheme. Municipal Bond Market Expert in Municipal Securities A municipal bond market expert was needed for an injunction against a violation of securities law. |
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