Securities & Litigation Regulations

Michigan Securities Litigation Attorney Defending Brokers, Advisors, and Financial Professionals Against Criminal Charges and Regulatory Actions

We know exactly how the SEC, FINRA, and federal prosecutors build cases against Michigan securities professionals — and what it takes to protect you when they come after you. The financial services industry is one of the most heavily regulated industries in the country, and a single allegation of securities fraud, unauthorized trading, or regulatory misconduct can trigger a federal investigation, a FINRA enforcement action, and criminal charges — all at the same time. Attorney Scott Weinberg has spent over 30 years defending Michigan securities brokers, dealers, registered representatives, investment advisers, financial planners, corporate officers, and investors when regulatory scrutiny turns into a criminal matter.

Your license, your career, and your freedom may all be on the line. Call the attorney the moment you receive any notice of a regulatory inquiry, investigation, or legal action.

When you hire Michigan Criminal Lawyers, PLC to handle your securities matter, you get Scott Weinberg — a former prosecutor with over 30 years of experience who understands how federal agencies, self-regulatory organizations, and state regulators investigate and prosecute securities violations. He knows how FINRA arbitrations escalate into criminal referrals, how SEC enforcement actions lead to federal indictments, and exactly how to defend your interests at every stage of a securities investigation or proceeding. We have relationships and connections in every court across Michigan that you may need, and we offer payment plans and 100% financing so that cost is never a reason to face these charges without the best possible defense.

By acting quickly and retaining experienced legal counsel at the first sign of a regulatory inquiry or securities dispute, we can often resolve matters before criminal charges are filed, protect your professional licenses and registrations, and ensure that your career, your assets, and your freedom are fully defended throughout the process.

We successfully represent clients in securities litigation and regulatory matters including:

Criminal securities fraud and wire fraud charges, SEC and FINRA enforcement actions and investigations, unauthorized trading and churning allegations, unsuitable investment recommendations and misrepresentation claims, selling away and front running accusations, securities arbitration proceedings before FINRA and other forums, insider trading investigations and prosecutions, RICO and antitrust violations alleged in connection with securities activity, wrongful termination and U-5 defamation disputes arising from the financial services industry, class action defense involving securities, ERISA, and antitrust allegations, and Dodd-Frank whistleblower retaliation and compliance matters.

Without experienced legal representation when facing a securities investigation, enforcement action, or criminal prosecution, you risk federal criminal conviction for securities fraud or related offenses, permanent revocation of your securities licenses and registrations, substantial civil penalties and disgorgement orders imposed by the SEC or FINRA, a permanent industry bar that ends your career in financial services, seizure of personal and business assets connected to the alleged violation, and the complete destruction of the professional reputation you have spent years building.

Call our law firm right now to protect your license, your career, and your freedom before the situation escalates further.

What Can Our Securities Litigation & Regulation Attorneys Do for You?

Respond immediately to SEC subpoenas, FINRA inquiries, and state regulatory notices before your response creates additional legal exposure
Defend against criminal securities fraud, wire fraud, and mail fraud charges at the federal and state level
Represent you in FINRA arbitration proceedings and work to achieve the most favorable outcome possible
Intervene early in regulatory investigations to prevent civil enforcement actions from becoming criminal referrals
Challenge improper asset freezes, disgorgement orders, and other emergency relief sought by the SEC or FINRA
Defend against insider trading allegations and the federal criminal prosecution that frequently follows
Handle U-5 defamation disputes and wrongful termination claims arising from your departure from a broker-dealer
Pursue FINRA expungements to clear improper complaints and disclosures from your industry record
Represent you in class action defense involving securities, RICO, antitrust, and ERISA violations
Use insider prosecutorial knowledge to anticipate how federal investigators approach securities cases and build the most effective defense strategy on your behalf

Understanding Criminal and Regulatory Liability in Michigan Securities Cases

The financial services industry operates under an extraordinarily dense web of federal and state regulations administered by the SEC, FINRA, the Commodity Futures Trading Commission, state securities regulators, and other oversight bodies. For Michigan securities professionals — brokers, dealers, registered representatives, investment advisers, and corporate officers — the consequences of a regulatory violation extend far beyond a fine or a license suspension. What begins as a client complaint or a regulatory inquiry can rapidly escalate into a full criminal investigation and federal prosecution, with charges carrying substantial prison sentences and lifetime industry bars.

Michigan securities professionals need to understand that the line between a regulatory violation and a criminal offense is not always clear, and it is frequently drawn by prosecutors rather than by the individuals under investigation. Allegations of misrepresentation to clients, accusations of unauthorized trading, complaints about unsuitable investment recommendations, and disputes over compensation arrangements can all become the starting point for a securities fraud prosecution. Federal prosecutors and the SEC’s enforcement division work closely together, and a referral from FINRA or the SEC to the Department of Justice can happen quickly and without warning.

Attorney Scott Weinberg’s three decades of criminal defense experience, combined with his deep understanding of how federal prosecutors and regulatory agencies build their cases, makes him uniquely qualified to protect Michigan securities professionals when a regulatory matter becomes a criminal one. When your license, your livelihood, and your freedom are all at stake simultaneously, you need an attorney who has been on the other side of that investigation — and that is exactly what Attorney Weinberg brings to every client he represents.

“An absolutely impeccable attorney and person - I acquired two OWI cases in two counties in a very short time. Mr. Weinberg's outstanding legal work and professional advice has resulted in a better, healthier life, the absolute minimum possible time spent in jail and an excellent coordination in events so I could maintain my employment.”

“Probation violation plus - I hired Scott Weinberg to handle a friend's case. She was arrested and had 3 charges in 2 counties. There was also a short amount of time before she was due in court. He was able to manage all of it and did so quickly with an excellent outcome for my friend. He has lots of experience and a good attitude.”

“Domestic Violence - I recently used Scott for my domestic violence case and was very satisfied. Scott is very professional and caring to his client’s. He explained and went through all the details and option’s prior to and after my court date”