Regulatory Agencies

The U. S Securities & Exchange Commission (SEC) is charged with enforcing laws that govern individuals and business entities operating in the financial industry.
Even a hint of an informal securities inquiry or formal investigation can harm the reputation of financial professionals or the good name of a brokerage firm, commodities exchange, investment bank or corporation.
If you or your company is involved in SEC litigation or is the subject of an SEC inquiry or investigation, you will need legal advice and guidance from an attorney who has extensive experience dealing with SEC regulations and understands of the legal principles governing agency conduct.

The Law Office of John R. Teakell, based in Dallas, Texas offers legal services for investment banks, securities dealers and brokers, and securities exchanges related to a wide variety of legal, state and federal securities compliance and regulatory matters.

Investigations & Enforcement Proceedings

As a former Senior Trial Attorney for the SEC, John Teakell prosecuted enforcement actions. Using his extensive knowledge and experience with the SEC, he regularly represents financial professionals, institutions and other entities in Texas State and federal regulatory compliance investigations and enforcement proceedings before the:

  • U.S. Securities and Exchange Commission (SEC)
  • Financial Industry Regulatory Authority (FINRA)
  • Office of Hearing Examiners (OHO)
  • National Adjudicatory Council (NAC)
  • State securities commissions & boards
  • Various commodity exchanges

Results of Securities Enforcement Actions

Regulatory compliance inquiries and or investigations require strong legal advocacy and guidance. Among other negative repercussions, securities enforcement action can result in:

  • Temporary restraining orders (TROs)
  • Preliminary and permanent injunctions
  • Court-ordered receiverships
  • Asset freezes
  • Disgorgement
  • Monetary penalties
  • Officer and director bars
  • Suspension or bar from the securities industry

An Insider’s Perspective Benefits Clients

Broad experience prosecuting enforcement actions as trial attorney for the U.S. Securities and Exchange Commission and representing private practice clients in litigation, arbitration, investigations and enforcement proceedings gives John Teakell an in-depth understanding of the securities regulatory issues and procedures. His insider’s perspective provides clients with invaluable legal advice and guidance during the proceedings as well as helping them devise strategies to deal with enforcement actions.

Contact an Experienced Securities Regulation & Enforcement Lawyer

When you need legal expertise to address complex securities litigation, regulation compliance inquiries and investigations and enforcement proceedings, call the Law Offices of John R. Teakell at (214) 523-9076. There is no fee for an initial consultation.