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Securities Compliance

Securities laws are complex and ever-changing. Whether our business clients are based inside or outside the United States, the Willeford Law Firm helps them interpret, implement, and ensure securities compliance with the Investment Advisors Act of 1940 as well as the reforms introduced by the Sarbanes-Oxley Act of 2002 and Securities and Exchange Commission (SEC) and other regulations that followed.

We also advise clients on meeting Financial Industry Regulatory Authority (FINRA) and SEC compliance needs, including:

International investments and international fund transfers
Foreign entity tax reporting
Investment adviser fraud
Fiduciary and trustee fraud
Entity ownership and disclosure

The Willeford Law Firm—the investor’s choice for legal recovery of financial loss

Our investment law attorneys help business clients interpret, implement, and ensure securities compliance. Call us at 1-800-706-5196 to schedule your free consultation or use the online form to tell us about your compliance situation.

Per Louisiana Rule of Professional Conduct 7.4, our description of our fields of practice does not state or imply certification, specialization or expertise in any particular areas of law, unless a particular lawyer listed holds a certification or other expertise recognized by the applicable State Bar or regulatory authority. This web site is designed for general information only. The information presented at this site should not be construed to be formal legal advice nor the formation of a lawyer/client relationship. [ Site Map ] [ Bookmark Us ]