Securities fraud accusations destroy financial careers overnight—regulatory investigations, investor lawsuits, FINRA disciplinary proceedings, and criminal charges threaten your broker's license, professional reputation, personal assets, and freedom even when allegations misrepresent legitimate business practices.
Available 24/7 - Immediate Response for SEC & FINRA Matters
Whether you're a Columbia, South Carolina wealth advisor facing FINRA complaints from dissatisfied clients, a broker-dealer executive under SEC investigation, an investment professional named in arbitration claims, or a financial services employee accused of unauthorized trading or misrepresentation, these allegations carry consequences extending far beyond individual disputes. South Carolina financial professionals—managing accounts for Fort Jackson military families, USC endowment funds, state pension investments, or private clients throughout Richland and Lexington Counties—face aggressive enforcement from regulators who build cases using hindsight bias, cherry-picked evidence, and presumptions that losses always indicate wrongdoing rather than normal market volatility.
Matthew McGuire has defended financial professionals in Columbia for over three decades, fighting FINRA arbitrations, SEC enforcement actions, federal criminal prosecutions, and investor civil litigation that threatens everything you've built. Call (888) 499-5738 now for 24/7/365 representation.
Securities fraud defense requires mastery of complex regulatory frameworks, financial markets, and the ability to translate technical trading data into compelling defense narratives.
Over 30 years navigating SEC examinations, Wells submissions, and enforcement proceedings. We protect your rights while avoiding statements that create criminal exposure.
Defending customer complaints, suitability claims, and churning allegations before FINRA arbitration panels that often favor investors without skilled defense counsel.
Federal wire fraud, mail fraud, and securities fraud charges in the District of South Carolina requiring aggressive defense to protect your liberty and career.
We fight to protect your securities licenses, CRD record, and ability to continue working in financial services while defending regulatory actions.
Coordinating civil, regulatory, and criminal defenses to avoid statements in one forum creating evidence used against you in others.
Financial professionals face a wide range of allegations from regulators and investors—many based on market losses rather than actual misconduct.
Claims of excessive trading generating commissions while harming client portfolios, though trading may have been appropriate given market conditions or client objectives.
Allegations that recommendations were inappropriate for client risk tolerance, though investors often misrepresent their sophistication or change testimony after losses.
Charges against branch managers or compliance officers when subordinates allegedly engaged in misconduct you had no knowledge of or ability to prevent.
Clients alleging false statements or omitted material facts, often based on miscommunication or selective memory after investments declined.
Accusations ignoring verbal authorizations, course of dealing patterns, or discretionary authority you reasonably believed existed.
SEC and DOJ investigations arising from suspicious trading patterns, information sharing, or communications that had innocent explanations.
Customer complaints automatically appear on your CRD record, damaging reputation even before any findings of wrongdoing. Early intervention is critical.
Securities cases demand attorneys who understand financial markets, regulatory procedures, and the high stakes facing financial professionals accused of misconduct.
We develop comprehensive strategies coordinating responses across SEC, FINRA, criminal, and civil proceedings to protect your career and freedom.
Understanding trading practices, compliance requirements, and market dynamics allows us to explain legitimate business conduct that regulators mischaracterize.
We protect your reputation while defending allegations, understanding that publicity alone can destroy financial careers regardless of outcomes.
When regulators or investors pursue meritless claims, we fight back aggressively—exposing hindsight bias, investor sophistication, and lack of actual misconduct.
Beyond case outcomes, we fight to protect your licenses, CRD record, and ability to continue working in the financial services industry.
FINRA investigations and arbitrations follow specific procedures where early intervention and strategic response can determine career outcomes.
Complaints filed through FINRA's arbitration system require immediate strategic response to prevent CRD damage and mounting liability.
Document requests that seem routine build enforcement cases against you. We manage responses to protect your interests while meeting obligations.
Wells notices from FINRA's Department of Enforcement signal imminent disciplinary action, requiring strategic response within 30 days before charges are filed.
Hearings before FINRA panels where sanctions range from fines and suspensions to permanent bars from the securities industry.
Documenting client risk tolerance discussions, signed acknowledgments, and sophisticated investor status contradicting hindsight complaints.
Expert analysis showing trading patterns were appropriate given market conditions, client objectives, or portfolio rebalancing needs.
Securities fraud cases require an attorney who combines trial experience with understanding of financial markets, regulatory procedures, and federal criminal defense.
Matt McGuire has defended financial professionals for over 30 years, understanding how SEC and FINRA build cases and where those cases are vulnerable to attack.
As a former Assistant Attorney General and Assistant Solicitor, Matt understands prosecution strategies—and how to defeat them in securities cases.
We defend federal securities fraud charges in the District of South Carolina, protecting liberty while preserving professional licensure possibilities.
We retain securities industry experts who explain how your conduct met industry standards and regulatory requirements to arbitration panels and juries.
We coordinate with securities defense specialists nationwide when cases involve multiple jurisdictions, understanding when to cooperate strategically and when to assert protections.
Securities fraud allegations carry devastating consequences that extend far beyond fines—permanently destroying careers, freedom, and financial security.
Securities fraud convictions create permanent bars from the financial industry, eliminating careers built over decades and destroying professional reputations.
Securities fraud allegations raise complex questions about regulatory procedures, criminal exposure, and protecting your career. Here are direct answers from an experienced defense attorney.
Never speak with SEC investigators without attorney representation. While SEC testimony can be compelled, you retain Fifth Amendment rights in criminal contexts. Strategic coordination is essential.
A Wells Notice from SEC or FINRA signals they intend to bring enforcement action against you. You have 30 days to submit a response presenting legal arguments and factual evidence before charges are filed.
Yes. Customer complaints automatically appear on your CRD record and employers often terminate financial professionals immediately after allegations, even before any findings of wrongdoing.
Parallel proceedings require coordinating civil, regulatory, and criminal defenses. Statements in SEC proceedings can create evidence for criminal prosecution—strategic coordination is essential.
FINRA arbitration panels often favor investors, but skilled defense prevents unjust liability by exposing investor sophistication, hindsight bias, and lack of actual misconduct.
Yes. Expert analysis can show trading patterns were appropriate given market conditions, client objectives, or portfolio rebalancing needs—not excessive trading for commissions.
Your firm's lawyers represent the firm, not you personally. Their cooperation obligations may conflict with your individual interests. You need your own securities defense counsel.
Possibly, but CRD disclosure obligations, employer reactions, and regulatory actions make continued employment challenging. Strategic defense can help preserve career options.
With over 30 years of experience defending South Carolina, McGuire Law provides elite legal representation with national recognition. McGuire Law has grown from a small practice into one of the most trusted law firms in South Carolina. We understand that legal issues can be overwhelming, whether you're facing criminal charges, dealing with injuries from an accident, or navigating family law matters.
McGuire Law is committed to each client's unique situation, and we don't believe in boilerplate solutions. Every case requires careful analysis, strategic planning, and aggressive representation. Our firm combines over 30 years of experience with cutting-edge legal strategies to achieve the best possible outcomes for our clients.
McGuire Law serves all 46 South Carolina counties. We know these counties, their courts, their legal communities, and most importantly, the people who live here. This local knowledge, combined with our legal expertise, gives our clients a significant advantage.
Matt McGuire received his B.A. from the University of North Carolina - Chapel Hill and his J.D. from the University of South Carolina.
Matt has served as a law clerk for a State Circuit Judge, an Assistant Attorney General for the State of South Carolina, and an Assistant Solicitor in the Fifth Circuit Solicitor's Office.
Matt is a proud husband, father of two, and a long-time resident of Richland County, South Carolina.
Don't wait while regulators build their case against you. These cases require immediate strategic response before investigators extract damaging statements, regulators suspend licenses, or employers terminate relationships. Call McGuire Law now and protect your career.
Matt McGuire has defended financial professionals throughout Columbia and South Carolina for over 30 years, protecting licenses, careers, and freedom in FINRA arbitrations, SEC investigations, and criminal securities fraud prosecutions. Call (888) 499-5738 immediately for 24/7/365 representation.
