Law Offices of

Kristin M. Cano


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S.E.C. Investigations & Enforcement

• Informal Investigations


• Formal Investigations


• Obtaining and Analyzing the Formal Order of Investigation


• Guidance in Response to S.E.C. Supoenas


• Rights of Witnesses in Investigative Testimony


• Well Submissions


• S.E.C. Enforcement Actions


• Broker/Dealer Disciplinary Actions