Securities Regulation
Securities Regulation and Enforcement
Mr. Giffin has handled a number of regulatory and enforcement cases before the Securities and Exchange Commission, the National Association of Securities Dealers, the New York Stock Exchange and the securities commissioners of Missouri and Kansas. These cases include:
- Selling and other activity away from the broker's firm
- Free-riding violations
- Sale of unregistered securities
- Record keeping violations
- Failure to register
- Allowing disqualified person to associate with the firm
- Sales practice violations
When your license and livelihood are at issue you need a skilled, experienced, zealous and tenacious advocate to protect your rights such as Reggie C. Giffin.
If you are a broker, investment advisor, certified financial planner, or other securities professional requiring representation in regulatory or enforcement cases, call (816) 453-2253 for a free initial consultation.
Reggie C. Giffin, P.C.
200 NW 47th Street
Kansas City, Missouri 64116
Telephone: (816) 453-2253
Cell: (816) 588-6596
Fax: (816) 453-2496
Email: rgiffin@kc.rr.com
Contact us about your legal matter today!
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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 should it be considered to form a lawyer/client relationship. The choice of a lawyer is an important decision and should not be based solely on advertisement. Rather you should evaluate the potential lawyer’s skill, experience and knowledge in the area of your legal problem and whether you are comfortable with that lawyer. Mr. Giffin will be happy to meet with you to discuss whether he is the appropriate lawyer to handle your matter.