Securities and Exchange Commission (SEC)

The Securities and Exchange Commission (commonly referred to as the SEC) is a government agency whose mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. When investment advisors, stockbrokers, and investment firms violate SEC rules, the investors who rely on those entities to handle their funds in a responsible and ethical manner often sustain significant losses.

If your advisor or investment firm has been charged with violating SEC rules, contact our SEC attorneys today for a free consultation: 305.912.3000.