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Regulatory
Investigations
The firm represents businesses and individuals who are under
investigation or are subjects of enforcement proceedings
initiated by governmental agencies such as the United States
Securities and Exchange Commission, the Arizona Corporation
Commission Securities Division, and the Arizona Department of
Insurance, and self-regulatory organizations such as the
National Association of Securities Dealers and the New York
Stock Exchange. This includes representation through the
investigation phase, in administrative hearings, and at trial.
These cases typically include allegations of violations of
securities laws, fraud, negligence, or violation of agency
rules.
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