Investment bankers, stockbrokers and other money managers are responsible for the financial future of millions of investors. As a result, there are severe criminal consequences for those who violate the publics trust and fail in their fiduciary duty. If you have a Series 3, 7, 27, 65 or any other license regulated by FINRA, you may lose your license upon conviction of criminal charges. At the financial license defense firm of Pilchman & Kay, PLC we protect our clients from licensing agencies and state prosecutors.
Our firm has the legal arsenal to fight all charges against you in criminal court and protect your future. We know what charges carry consequences with FINRA and how to negotiate cases so those consequences never impact your career or family obligations. If hired early, we can provide legal counsel that can mitigate criminal exposure and make prosecution of you more difficult if not impossible.
If you or a loved have concerns regarding a criminal complaint or the potential loss of your financial license, please contact our firm for a free consultation. We have offices in Los Angeles, Orange County, San Diego and represent clients all over Southern California.
