Even the most careful companies, funds, or issuers can sometimes face scrutiny from federal or state securities regulators or become involved in investor lawsuits. Mangum & Associates has the expertise and capacity to handle nearly any type of SEC investigation, enforcement action, or related litigation.
Our team represents clients in federal and state SEC investigations, civil and criminal enforcement actions, and litigation arising from investments, including cases involving fraud, market manipulation, corporate governance disputes, insider trading, investor claims, and issues around investment disclosure and communication.
Additionally, we have extensive experience conducting internal investigations and managing communications with regulatory bodies such as the SEC, FINRA, NYSE, NASDAQ, and other major agencies. By staying current with the evolving regulatory landscape, Mangum & Associates provides our clients with strategic, effective, and reliable solutions to navigate complex securities matters.
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