Securities litigation typically involves investigations and enforcement proceedings brought by the SEC, the Department of Justice or self-regulatory organizations. Our firm assists clients in formal and informal government investigations and enforcement proceedings. Sound judgment, experience and diplomacy by our legal advisors become assets to our clients when ascertaining whether actions and events call for a cooperative approach or a more aggressive strategy. When litigation is necessary and advisable, we have the litigation experience to get results. Our Finance & Securities Litigation Practice represent individuals and corporations in state, federal, SEC and FINRA investigations and trials. Matters handled by our attorneys include:
- Representing brokerage firm personnel in SEC and FINRA regulatory investigations and proceedings.
- Representing corporations, presidents, CEOs and other officers in civil investigations and enforcements
- Representing brokerage firm corporate executives in SEC investigations
- Representing corporate executives in investigations involving Customs’ violations
The Law Office of Victor D. Walker, P.C. also provides clients with preventive and pre-litigation counseling.