National Securities Attorneys
At the law firm of Stafford + Associates, we focus exclusively on securities law. For 25 years, we have been doing our part to maintain the integrity of the securities market. In our Arbitration practice, we help investors recoup losses from negligent, fraudulent, or unscrupulous broker-dealers. We also help investment advisers, mutual funds, and broker-dealers become registered and then with their daily operational and compliance matters. If already registered, we help them with our compliance and enforcement defense practice to resolve their problems.
If you have a securities matter, we are familiar with SEC regulations. We also keep abreast of the rapid changes in securities law. Contact Stafford + Associates for a courtesy consultation.
What We Offer
We help our clients in a number of ways. If they are victims of securities fraud, we help them get their money back. We work with securities professionals to make sure that they are in compliance with SEC and NASD regulations. We also advise and defend them if they are under SEC or state investigation. As lawyers, all communications with our clients remain confidential.
We can either handle all of your SEC compliance needs, or handle one specific matter. Either way ignorance is no defense, therefore, we educate our clients. It’s important to us that our clients understand how to stay within the law so that they recognize problems and follow the rules consistently, or call us for assistance when they realize a problem exists.
We also offer the necessary checks and balances in compliance. For example, if your fund counsel to the board of directors is also advising the board on compliance matters, that may create a potential conflict of interest. The board of directors is supposed to supervise the Chief Compliance Officer. It is inadvisable if the person that they are supervising is being advised by the same person advising them (their counsel). It places the counsel in the awkward position of having to supervise himself. Retaining our firm for your compliance needs solves this problem.
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Stafford + Associates
Stafford + Associates serves clients nationwide including the cities of Kansas City, Omaha, St. Louis, Denver, Dallas, Atlanta, Miami, Naples, New York, and Chicago.
The contents of the website are for informational purposes only. The website does not provide any specific legal advice or guarantee any specific outcome in a legal matter. Use of this website does not create an attorney and client relationship.