At the law firm of Stafford + Associates, securities law is our sole focus. We have been helping investment advisers, financial advisers, investment managers, broker-dealers, registered representatives, and investors for 25 years. If you are faced with an SEC, NASD, or other securities issue, please contact Stafford + Associates for a confidential consultation as a courtesy without charge.
Securities Dispute Resolution
Losing money is a risk with any investment. However, in many instances the loss is due to a negligent, fraudulent, or unscrupulous broker, and you may have a cause of action to recoup your losses. Our attorneys have helped hundreds of people get their money back from broker-dealers’ misconduct. At Stafford + Associates, we can guide you through the arbitration process and help you get back on your feet.
Complying with SEC regulations is more complicated than most people realize. The law is so complex that people who have no intention of breaking the law can end up doing exactly that. Our lawyers can help you prevent this. For 25 years, we have been keeping track of the SEC and compliance regulations. We can either serve as your chief compliance officer or aid your chief compliance officer, offering advice on how to achieve your business goals while staying within the regulations.
SEC Enforcement Defense
Sometimes, you can find yourself the subject of an SEC inquiry even if you had no intention of doing anything wrong. If you have been called by the enforcement division of the SEC, contact us immediately. If you have already received a notice to appear, we can meet with you at your convenience.
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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.