A State’s Authority to Investigate Violations of the Securities Law
The state securities laws generally give state securities administrators the broad power to investigate whether a person has violated or is about to violate its state securities laws. Typical violations include: the sale of unregistered securities, unlicensed activity, and securities fraud. A state securities administrator can take remedial action in the form of an enforcement action should it conclude that a person has violated or is about to violate the securities laws. Typical remedies include: ordering a target to cease and desist from any future violations, assessing a civil penalty, cancelling or revoking a license, or denying an exemption. Any person that is subject to an action by an administrator is entitled to a hearing before the administrator’s action becomes final.

My Services
I have served as the primary enforcement “staff attorney” in several enforcement actions while I was at the Oregon Department of Consumer and Business Services. This included some of the largest securities fraud cases in Oregon’s history as well as for more technical violations. I have also worked very closely with prosecutors as a testifying and consulting expert witness in several criminal cases that were charged under the Oregon securities law.

Using my thorough knowledge and understanding of state securities investigations and enforcement, I work tirelessly on behalf of clients that are the subject of a state securities regulator’s investigation or an enforcement action to achieve success at every stage. I do this by understanding the government’s position and theory, identifying the strengths and weaknesses underlying their case, ensuring that the government’s action is consistent the requirements under state’s administrative procedures act, holding the government to its burden of proof, and, where appropriate, negotiating a reasonable settlement.

Click the following links to learn more about LOJA’s other services and practice areas:

Securities Registrations and Compliance

Consulting and Testifying Expert Services

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