Regulatory and Enforcement Matters

Scheef & Stone, L.L.P. has the experience and expertise securities industry clients need when responding to regulatory and enforcement matters brought by the U.S. Securities and Exchange Commission, a state securities commission, FINRA or a stock or commodities trading exchange. The firm regularly assists clients in informal and formal investigations, cease and desist orders, records subpoenas, on-the-record testimony and defense of enforcement proceedings.