SEC Compliance And Enforcement

The Securities and Exchange Commission has broad authority to investigate and prosecute alleged securities law violations. Businesses accused of breaking the law require highly accomplished and reputable legal representation. From its office in Houston, Texas, Brewer, Pritchard & Buckley, P.C., provides reliable advice on SEC compliance, as well as trial representation in the event of a civil action by the SEC or other government agency. The firm represents companies throughout Texas and the United States.

Experience With SEC Compliance Matters

Attorney J. Mark Brewer has some 37 years of experience in securities law, and Thomas C. Pritchard has more than 33 years of experience in securities law. The lawyers at Brewer, Pritchard & Buckley, P.C., handle all SEC enforcement charges, including, but not limited to:

  • Insider trading
  • Manipulation of market prices
  • Pump-and-dump schemes involving penny stocks
  • Violation of a broker's fiduciary responsibilities
  • Misrepresentation to investors
  • Sale of unregistered securities

A SEC civil action can result in stiff penalties, including fines, disgorgement of profits and potentially the loss of the defendant's right to serve as a broker, financial adviser, corporate officer or director. There is also the damage to the firm's reputation to consider.

Attorney Thomas C. Pritchard handles all aspects of SEC regulatory compliance with respect to ongoing reporting purposes. Publicly traded companies are required to file periodic reports with the SEC, including, without limitation, the following:

  • Annual reports on Form 10-K
  • Quarterly reports on Form 10-Q
  • Periodic reports on Form 8-K
  • Proxy statements and information statements with respect to annual or special meetings of the shareholders
  • Section 16 filings, including Form 3's, Form 4's and Form 5's
  • Schedule 13D and 13G filings

The firm of Brewer, Pritchard & Buckley, P.C., has extensive experience in handling all aspects of the public company's reporting obligations with the SEC.

Representing Clients Since 1981

J. Mark Brewer regularly represents clients in administrative hearings, arbitration and in U.S. District Court. He protects the rights of consumers, brokers and business owners, and builds a vigorous defense based on the evidence and the law. His time-tested advice minimizes risk while helping companies.

Quality Regulatory Advice And Trial Representation

Brewer, Pritchard & Buckley, P.C., is located in Houston, Texas. To schedule a consultation following a letter or subpoena from the SEC, please call the firm at 800-236-7468 or send an email.

Not certified by the Texas Board of Legal Specialization