Securities Fraud & Enforcement

With considerable experience as federal prosecutors, our partners have the skills and expertise to represent clients at all phases of either a regulatory enforcement action or a criminal investigation.

In securities fraud cases brought by regulatory bodies or by federal and state prosecutors across the country, Norman Spencer & Associates represent clients, both individuals and corporates, before the Securities and Exchange Commission, the New York Stock Exchange , the Financial Industry Regulatory Authority, and the United States Attorneys’ Office.