S.E.C. Investigations

S.E.C. Investigations & Enforcement

Services Provided:

Informal Investigations 
Formal Investigations 
Obtaining and Analyzing the Formal Order of Investigation
 Guidance in Response to S.E.C. Supoenas 
Rights of Witnesses in Investigative Testimony 
Well Submissions 
S.E.C. Enforcement Actions
Representation at S.E.C. Testimony 

Experienced
Reliable
Insightful

In today’s world, investing is the most effective way to secure a financial future, cultivate growth, and encourage innovation. At the same time, working within the markets can be a complicated matter, and bad actors might attempt to create an environment that is hostile to competition and fairness. If you suspect that foul play is afoot, then it is crucial to work with a law firm that can provide the services you need to bring the responsible parties to justice.

At The Law Offices of Kristin M. Cano, we serve as your allies in preserving a fair playing field. We conduct investigations that align with the S.E.C from Irvine, CA. Thanks to our skill and experience, you can count on us for dependable legal services and representation. 

Free Initial Consultation

We provide a free initial consultation for exploration of Regulation A+,  Regulation D, Rule 506,  other Exempt and Registered Offerings,  potential stockbroker U5 and stockbroker fraud cases. When the consultation is specific to answering and solving your immediate legal question, we will charge by the hour and advise you in advance.

Don’t let suspicions remain as blind speculation. When it comes to S.E.C. investigations, it is necessary to have the data that will support your case. Our team can work with you to determine the possibility of securities fraud. A consultation can be the first step in determining the viability of a case. 

The Benefits of S.E.C. Investigative Services

Much more is at stake when it comes to fraud cases. The viabilities of companies--and the livelihoods of others--can hang in the balance. It can also make a difference as to whether employees are being treated fairly for the work they contribute to an organization. Our investigative services are a crucial tool for ensuring a fair environment.

There is a great benefit to having a reliable company look into any fraudulent cases concerning the Security Exchange Commission. Ensuring that your employees have the health benefits they need and are owed so that they can stay healthy is part of what the S.E.C. in Irvine, CA, contributes to the workforce. In the event that your benefits are looking unusual, or you're not being covered to the full extent that you're owed, the Law Offices of Kristin M. Cano is there to help. We not only represent individuals but companies that are being investigated. We can conduct these investigations privately to maintain your reputation.
We work closely with our clients and examine their individual cases in terms of their employers and what the company gives their workers. Alternatively, learning what each contract holds will provide us with insight into better policies that concern the S.E.C. Whether you file for an informal or formal investigation, we will delve deeply into the contract and give you the representation you need. 
Contact us today to learn more about our service and how we can best represent you. We'll be glad to listen to your situation and help in any way we can.

S.E.C. Investigations & Enforcement

S.E.C. Investigations & Enforcement

Free Initial Consultation

The Benefits of S.E.C. Investigative Services

Free Initial Consultation *

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