212-832-3160 212-832-3160

New York SEC Enforcement Attorneys

Providing meticulous securities oversight 
Andrew M. Lawler, P.C. helps ensure that your company is in compliance with all applicable government regulations. We offer dependable counsel with regards to:

  • AMEX, Nasdaq and NYSE listings and compliance
  • Blue sky compliance
  • SEC compliance    
    Reporting by public companies    
    Reporting by officers, directors and large shareholders
  • Margin violations
  • Options abuse
  • Failure to supervise 
  • Corporate governance
  • Draft and review policy and procedure 

 
Aggressive litigation of your securities disputes
Controversies surrounding securities can arise between the issuing company and its shareholders, or between broker/dealers and their customers. Andrew M. Lawler, P.C. vigorously defends its corporate clients against shareholder class action lawsuits for alleged violations of securities regulations, including actions under:

  • Securities Act of 1933: covering IPO liability   
    Sec. 5 failure to register 
    Sec. 11 misstatements or omissions in registration statement
    Sec. 12 misstatements or omissions in offering statement
    Sec. 17 fraud
  • Securities Exchange Act of 1934: covering ongoing disclosure violations  
    Sec. 10(b) Rule 10b-5 insider trading, tipping   
    Sec. 18 misleading statements in filed reports

We also defend clients against charges of control person liability directed at officers and directors.

Contact a New York securities law firm with 35 years of experience.
To schedule an appointment with Andrew M. Lawler, P.C., call 212-832-3160 or contact our office online