Rasco Klock represents and defends securities industry firms and individuals in investigations and formal proceedings brought by the:
We understand that investigations may lead to the loss of a license, restitution, disgorgement of fees or commissions, and fines — or worse, referral to state or federal prosecutors who will bring criminal charges and seek criminal penalties. We work cooperatively with the companies employing, the individuals who are the subject of these proceedings, and have obtained full exoneration for our clients, as well as entered into negotiated settlements that permit the executives involved to continue working successfully in the securities industry.
Some representative matters our attorneys has handled include:
