Sarasota County Bar Association
Manatee Chamber of Comerce

US Securities and Exchange Commission

The US Securities and Exchange Commission (SEC) is a federal government agency. Their job is to regulate investment companies and advisers.

Since the enactment of The Investment Company Act of 1940, the SEC has grown in scope. They have adopted regulations to govern the financial industry.

US Investment companies must register with the SEC. One exception to that rule is the private investment company, known as a “hedge fund”. Groups of people that put their money together to invest, called “Investment Clubs”, also do not have to register with the SEC.

The SEC accepts consumer complaints. You should also let them know about suspected violations of securities law. “Whistleblowers” will sometimes receive a payment from the SEC for information.

If you find yourself in a position to contact the SEC complaint center, let one of our investment lawyers help you along the way.

Client Reviews
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"Brad has been by my side for over 3 years now representing my company. I can always count on him to have my companies best interest at heart." Kory Souza
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