Top Securities & Investment Fraud Lawyers in ZIP 20036 | 2 available

Firm: Gary Carleton

2001 Massachusetts Avenue NW , Washington , District of Columbia 20036

Practice Areas: Securities & Investment Fraud

Getting a call from FINRA or SEC Enforcement telling you that your work as a securities broker is under investigation could be the worst day of your life. You have worked hard for years building your business. Now, with one wrongful allegation you can see it all swept away. But with expert counsel, it does not have to end that way. Stockbrokers and FINRA members need expert, experienced counsel when facing an investigation or disciplinary matter from FINRA or the SEC.. For more than 30 years, Gary Carleton was the one conducting those investigations at FINRA and SEC and now his firm, Carleton Law PLLC, brings all that experience to bear to defend brokers and FINRA firms who find themselves in that dreaded position. With all that experience advocating for your side, you will be much better prepared to take on the regulators.. Gary uses his extensive experience to quickly assess the seriousness of the matter and begin to develop a plan to address a resolution with FINRA or the SEC. He will lay out that strategy in straightforward, understandable terms. For a detailed description of Gary’s background and qualifications, visit his website .. Gary also runs a blog on FINRA enforcement investigations and disciplinary actions. You can find his blog on his website.Contact Gary’s office at to set up an appointment. Please be sure to leave your contact information for a return call or message within 48 hours.

Firm: LawVisory

1250 Connecticut Ave NW , Washington , District of Columbia 20036

Practice Areas: Securities Offerings, Business, Corporate & Incorporation, Tax, Securities & Investment Fraud

Mr. Jeff Smith is a highly experienced securities, tax, business, M&A, regulatory compliance, digital assets, capital markets, and FinTech attorney with over 26 years of experience strengthening the legal and compliance functions of financial services companies, investment advisers, broker-dealers, digital asset companies, family offices, technology companies, and investment vehicles. He has represented companies at all stages of maturity with their legal and compliance needs related to capital and debt raising efforts via private and public offerings. He has also served as Chief Legal Officer and Chief Compliance Officer for many companies while also working in the Director of Enforcement’s office at the Securities and Exchange Commission and serving as Investigative Counsel for President Obama at the Financial Crisis Inquiry Commission. Mr. Smith also serves on public company boards and was highly instrumental in facilitating the merger between Digital World Acquisition Corp and Trump Media & Technology Group, resulting in Trump Media becoming a publicly traded, well-resourced company. Mr. Smith also advises presidents, heads of parliament and ministers throughout Africa as part of his work in international economic development and is an expert in tax structuring and asset preservation planning. He has also been a pioneer in the development of tradable fractional and partitioned interests in rarities and real world asset tokenization as a co-founder of RarityX.. CREDENTIALS