Nevada Attorney Assists Businesses with Securities Compliance and Litigation
Skilled Las Vegas law firm advises companies on SEC matters and other regulatory issues
At Reliance Law Firm in Las Vegas, we provide comprehensive counsel to investment firms and other financial institutions so that they remain in compliance with complex government regulations. Our firm also represents Nevada clients in litigation and other proceedings involving state and federal agencies charged with the oversight of securities. Whether your business is a large corporation or a small brokerage firm, we offer dependable, skilled counsel during investigations, administrative hearings and legal actions.
Strong legal team provides effective counsel in agency reviews and private actions
Attorney Rulon Huntsman and his team provide comprehensive counsel to financial institutions on litigation and regulatory matters, which includes advice in the following matters:
- Mitigation of regulatory risks through development of strong compliance and corporate governance procedures
- Assessment of arbitration litigation options when a private complaint is made
- Response to a government agency’s review or request for information
- Negotiation of settlements on favorable terms
- Internal investigations on general compliance or specific issues
We represent companies before federal and state agencies, including the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Consumer Financial Protection Bureau (CFPB), Commodities Futures Trading Commission (CFTC) and Financial Industry Regulatory Authority (FINRA). Our experience ensures your firm's issues will be handled by professionals who understand the complexities of securities law, industry standards and practices and the regulatory environment.
Experienced litigators manage securities disputes
Disputes concerning securities can arise between the issuing company and its shareholders or between broker/dealers and their customers. We defend corporate clients against shareholder class-action lawsuits alleging violations of securities regulations. These include actions under the following provisions of the Securities Act of 1933, which covers initial public offerings:
- Section 5 (failure to register)
- Section 11 (misstatements or omissions in registration statement)
- Section 12 (misstatements or omissions in offering statement)
- Section 17 (fraud)
Our firm also handles cases involving alleged disclosure violations in these sections of the Securities Exchange Act of 1934:
- Section 10b-5 (insider trading, tipping)
- Section 18 (misleading statements in filed reports)
In addition to representing companies in these matters, we defend against charges of control-person liability directed at officers and directors. We understand that your continued relationship with investors depends on your company's reputation and integrity and we will work to preserve both with through exceptional counsel and advocacy.
Contact a proven law firm regarding a securities compliance or litigation matter
Reliance Law Firm in Las Vegas represents investment firms and other financial institutions in government regulatory matters as well as in arbitration and litigation involving individual investors. Please call 702-205-3500 or contact us online for a consultation. We serve clients throughout Nevada.
