The Cogdell Law Firm, provides proactive representation to businesses in the area of corporate compliance. Whether you are seeking to protect your corporation from future regulatory scrutiny or you are concerned that an employee's actions may have already drawn the attention of a regulatory agency, we are prepared to assist. Our law firm will review your practices and procedures and develop strategies to minimize exposure and comply with applicable state and federal regulations.
With nearly 30 years of experience defending individuals and businesses charged with serious white collar crimes, Dan Cogdell has a proven track record of success defending individuals and businesses against white collar criminal allegations.
Helping Companies in the Financial Services Industry Comply With Applicable Regulations
All businesses must comply with numerous state and federal regulations. Certain businesses, such as businesses in the financial services industry, are subject to an especially high regulatory burden. In addition to state and federal securities laws, these companies must follow regulations set out by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Companies involved in the sale of securities must develop and adhere to internal corporate compliance procedures. Additionally, internal investigations and/or audits should be conducted to ensure that all employees are acting in compliance with the internal guidelines.
Dan Cogdell has significant experience conducting independent investigations for corporations in an effort to avoid potential regulatory violations and prosecutions. Our past clients include hedge funds, brokerage firms and other businesses in the financial industry. Dan has also successfully represented numerous executives involved in SEC fraud investigations.
Regulatory Compliance Attorney Serving Companies Across Texas and Nationwide
A regulatory investigation can cause significant turmoil and uncertainty in any company. Developing compliance strategies can avoid these issues. Choose a lawyer with a proven track record of defending federal white collar crimes. Choose The Cogdell Law Firm. To arrange a consultation with an experienced Houston corporate compliance attorney, call 713-426-2244 or contact us online.