Brewer, Pritchard & Buckley, P.C.
Contact Brewer, Pritchard & Buckley, P.C. at

sec compliance and enforcement Archives

SEC compliance and enforcement requires legal advice

In Texas, when dealing with issues that pertain to the Securities and Exchange Commission as a part of doing business, making a legal mistake can be extensively damaging to the business and individuals who are working in the business. It can also negatively impact everyday investors and those who work as go-betweens and make their money in that capacity. The term "SEC compliance and enforcement" might sound like it encompasses a wide array of issues. That is because it does. Any violation of securities law can cause innumerable problems. When there is an allegation of wrongdoing or concern that the law could have been violated, legal help is a must.

Affirmative defense for an insider trading investigation

Texas businesses and investors are always seeking an advantage to make wise decisions. Getting information - or "tips" as it is often called - can be alluring and seem harmless. However, when the Securities and Exchange Commission believes wrongdoing has taken place and there was inside information shared illegally, it will not hesitate to try and pursue and prosecute those who are alleged to have taken part. Not all cases will result in a person being charged and convicted. There are defenses against these allegations that should be known.

Prominent businessman accused of SEC violations

For people who are prominent in business dealings in the U.S., it is important to adhere to the law and avoid allegations of wrongdoing by the Securities and Exchange Commission. When it is a publicly-held company and the owner is well-known and prone to making somewhat outrageous promotional statements, the federal government will not hesitate to act if it impacts share prices and is considered against the law. For those in Texas, it is wise to be aware of these stories to avoid making the same mistakes and face SEC violations. Of course, when there are these allegations, legal help is crucial.

NFL player and comedy writer arrested for SEC violations

When people are earning money from a lucrative job in Texas and throughout the U.S., there is an inevitable desire to take that money and build it into something even more substantial. People who are seeking to make significant profit in by investing will have the same desire. Often, that can lead to making mistakes with securities compliance. The Securities and Exchange Commission is intent on catching those who take part in illegal behaviors when investing including insider trading, manipulating markets and other transgressions. In some cases, familiar names crop up in the investigation and find themselves in trouble with the law and having issues at their job because of it.

Financial worker and two friends charged with SEC violations

In the fast-paced world of high finance, people in Texas and across the U.S. who are seeking to make as much money as they can as quickly as they can might engage in behaviors that will draw the attention of the Securities and Exchange Commission. To be fair, the rules that govern federal securities law can be somewhat confusing and people might not realize that the hot tip they received or the steps they have taken to make a smart investment and garner a positive outcome was illegal. It is not until they are arrested that they realize the scope of SEC enforcement and must consider how to lodge a defense against allegations that the law was violated.

What should I know about insider trading and its enforcement?

For Texans who work with securities and seek to make money by understanding the fluctuations and variances of the stock market or are involved in a business, it is wise to try to gather as much information as they can prior to risking their hard-earned money. For some, this might lead to violations of the federal securities law by taking part in insider trading. For others, they might have gotten caught up in a situation and not even realized that they had violated the law.

Email us for A response

Send A Message To Brewer, Pritchard & Buckley, P.C.

Bold labels are required.

Contact Information

The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

Important notice: Thomas C. Pritchard is a retired member of Brewer & Pritchard, P.C. Mr. Pritchard's address is 800 Bering Drive, Suite 201, Houston, Texas 77057. Brewer & Pritchard, P.C and Thomas C. Pritchard have shared the cost of this advertisement.

Referrals: Please note that as a general matter, Brewer & Pritchard, P.C. does not handle non-litigation matters. Brewer & Pritchard, P.C. refers all its non-litigation or "transactional" matters to Thomas C. Pritchard, who is a retired member of the firm. Thomas C. Pritchard does not handle any litigation cases and as a general matter, he refers all litigation cases to Brewer & Pritchard, P.C. Brewer & Pritchard, P.C. and Thomas C. Pritchard have no other relationship to each other and do not share fees if or when a case or matter is referred by one to the other.

Not board certified: None of Brewer & Pritchard, P.C., J. Mark Brewer nor Thomas C. Pritchard is certified by the Texas Board of Legal Specialization.


Privacy Policy

Our Location:

Contact Us:

Brewer, Pritchard & Buckley, P.C.
770 South Post Oak Lane
Houston, TX 77056

Toll Free: 800-236-7468
Map & Directions