Representation before the Securities and Exchange Commission

The SEC has subpoena power. The SEC has a large and active Enforcement Division. This division investigates possible violations of the federal securities laws. The SEC has authority to bring civil enforcement actions against persons and entities for violation of the securities laws. Sanctions include monetary penalties, injunctions, cease and desist orders, and exclusion from regulated industries and professions.

The SEC has subpoena power. The enforcement staff attorneys and investigators take sworn testimony from witnesses in their investigations. As with other types of fraud, to prove securities fraud the SEC must either obtain the cooperation of someone involved to provide incriminating evidence or build its case circumstantially.

Mr. Serafini has significant experience handling SEC investigations as an SEC enforcement attorney and supervisor and as an attorney in private practice representing clients before the SEC in enforcement actions.

Representation before Self-Regulatory Organizations (SRO)

Regulated industries such as the securities industry have SRO’s. In the securities industry NASDAQ and the New York Stock Exchange are examples. These bodies have enforcement authority over persons or entities that they regulate. Sanctions by an SRO can have significant detrimental consequences for regulated businesses and professionals. Experience in navigating SRO investigations and actions is essential to obtain the best results.

Representation before Government Investigating Agencies

Enforcement defense is the representation of clients before agencies charged with civil enforcement. Among the federal agencies are the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Federal Trade Commission, and the Inspector General for Health and Human Services. State agencies include the departments of health, the state attorneys general, and state banking authorities. Mr. Serafini’s experience with a wide variety of government investigative bodies provides the basis for obtaining the best results possible for clients confronted by government investigating agencies conducting civil enforcement inquiries.

Securities Arbitration

Securities arbitrations arise when investors find that their brokers and financial advisors have violated recognized norms in the handling of their accounts. Such behavior amounts to fraud. Some of the common grounds for securities arbitration claims are the following: breach of fiduciary duty to client, churning, misrepresentations/omissions, overconcentration, suitability, and
unauthorized trading.

Mr. Serafini has handled many cases involving these issues. For these matters he charges on a contingency basis.

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