When the Government Comes Knocking, Experience Matters.
SEC & FINRA Enforcement Defense
An SEC subpoena or FINRA Wells Notice is one of the most serious legal events a securities professional or fund manager will ever face. At Randall & Associates, we bring deep securities law experience and a clear-eyed strategy to every enforcement matter — from the first inquiry through final resolution.
Timing is critical. If you have received an SEC subpoena, a FINRA Wells Notice, or a regulatory inquiry, do not respond without experienced counsel. Contact us before you say or submit anything.
Why It Matters
You Need a Lawyer Who
Knows Securities Law from the Inside
Most defense attorneys learn securities law from the outside. Our managing partner has been a general partner in private equity funds and is deeply active in private markets — giving our clients a rare advantage. We understand how fund structures work, what regulators look for, and how to build a defense that holds up.
SEC enforcement actions and FINRA proceedings can result in permanent bars, disgorgement, civil penalties, and criminal referrals. The response strategy you adopt in the first days sets the trajectory for everything that follows.
Whether you are a fund manager, registered representative, broker-dealer, issuer, or individual officer facing an inquiry, we provide calm, aggressive, and strategic representation from day one.
What We Handle
SEC & FINRA Defense Services
We represent clients at every stage of the enforcement process — from pre-inquiry risk assessments through formal investigations, Wells Notice responses, and litigation.
OUR APPROACH
How We Handle
Your Matter
01 Confidential Case Assessment
We begin with a confidential, no-obligation consultation to understand the nature of the inquiry, the documents and communications at issue, and the regulatory exposure you face. We give you a straight assessment — not a sales pitch.
02 Immediate Preservation & Privilege Analysis
Once retained, we immediately issue a litigation hold, conduct a privilege review, and identify what can — and cannot — be produced. Early missteps in document handling are a common source of additional liability.
03 Defense Strategy & Staff Communication
We develop your defense narrative early and communicate proactively with SEC or FINRA staff where appropriate — often creating opportunities to resolve matters before formal charges are brought.
04 Wells Submission or Formal Defense
If the matter proceeds to a Wells Notice, we craft a detailed submission addressing the legal and factual weaknesses in the staff's case. If charges are filed, we litigate aggressively in administrative proceedings or federal court.
05 Resolution & Post-Matter Compliance
Whether your matter resolves through a settlement, dismissal, or favorable finding, we help you put in place the compliance infrastructure to reduce the risk of future regulatory problems.
WHY RANDALL
What Sets Our Firm Apart
You work directly with your attorney — not a rotating cast of associates. In high-stakes enforcement matters, continuity and direct communication are not luxuries; they are requirements
Enforcement matters are sensitive. We handle every matter with complete confidentiality and do not publicize client representations. Your situation stays between you and your legal team.
Practitioner-Level Market Knowledge
Our managing partner is an active private markets participant — not just a lawyer who reads about deals. When regulators examine your fund structure, offering documents, or investor communications, we understand exactly what they're looking at.
Transparent, Flat Fee Options
For defined-scope matters, we offer flat-fee arrangements so you know your costs from the outset. Enforcement proceedings are stressful enough without unpredictable legal bills compounding the pressure.
Full-Service: Formation to Defense
We form private funds and draft the Reg D documents that become the center of enforcement disputes. Few firms can advise on both sides of the same transaction. That integrated knowledge shapes a more effective defense.
Nationwide Representation
Our attorney is licensed in multiple states and we represent clients across the country in SEC and FINRA related matters. Geography is not a barrier.