Experienced Securities Regulation and Defense

At Ezell Law Firm, LLC, we represent firms and registered professionals who are under investigation for or have been charged with a violation by the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC), or state securities regulators.

From our Baton Rouge office, we offer experienced representation to clients throughout Louisiana.

Defense for Allegations of Misconduct

Our securities defense lawyers represent securities broker/dealers and registered representatives of broker/dealer firms who have been accused by a customer or a state or federal regulatory body of violating trade practices.

We are able to defend you against a broad range of allegations, including:

  • Sales practice violations
  • Ponzi schemes
  • Insider trading
  • Net capital violations
  • Market timing and market manipulation

Experience You Can Trust

Attorney Andrew B. Ezell has been practicing for more than 35 years and was at one time a registered principal of a securities firm. He understands the nature of the business and circumstances that can cause misconduct claims, and also possesses the experience to evaluate the relative provability of specific allegations.

Having seen the industry from the inside, and having a wealth of experience in building cases for trial, he is able to provide aggressive and authoritative defense against all types of allegations and claims. Whether you are currently under investigation, the proceedings in front of one of the regulatory agencies have already started, or you are facing criminal charges, Mr. Ezell has the skills to protect your freedom, rights and reputation.

Contact us to learn more about how our experienced securities defense lawyers can help you with your legal matter.