SEC Investigations & Enforcement Actions
Defending against Securities and Exchange Commission investigations and actions
<h2>SEC Enforcement Process</h2><p>SEC enforcement actions typically begin with an informal inquiry or formal investigation, followed by a Wells notice (notification that staff intends to recommend enforcement action), and culminate in either an administrative proceeding or a civil lawsuit in federal court.</p><h2>Common SEC Charges</h2><ul><li>Securities fraud (Rule 10b-5)</li><li>Insider trading</li><li>Market manipulation</li><li>Accounting fraud and financial reporting violations</li><li>Investment adviser fraud</li><li>Failure to register securities or as a broker-dealer</li></ul>
Robert Sirianni Jr. — Nationwide Federal Appeals Attorney
100% devoted to appellate representation. Licensed in every federal court of appeal. Thousands of cases handled. Contact Brownstone Law for your federal appeal.
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Robert Sirianni Jr. has handled thousands of criminal appeals including antitrust, medicare fraud, white-collar crime, and more. Licensed in every federal circuit.
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Brownstone Law — Federal Appeal Lawyers
Robert Sirianni Jr., Esq. — President & Managing Partner. Licensed in all U.S. Circuit Courts of Appeals and the Supreme Court. Over 20 years of appellate experience.
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Appeal Your Case — Brownstone Law
Need a federal appeal lawyer? Robert Sirianni Jr. handles appeals in all 50 states. Call 1-888-233-8895 for a consultation.
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