Overview

We defend broker-dealers, registered investment advisers, and their associated persons facing government action, including investigations and enforcement actions by government regulators and self-regulatory organizations. We understand the significant harm to business and reputation these events can inflict, including the potential for stiff monetary penalties, suspensions, or bars. Firms and individuals, including control persons, increasingly find themselves facing the threat of zealous government investigations involving the potential for civil or administrative proceedings, or referrals to law enforcement.

We defend clients before the SEC, the CFTC, the Financial Industry Regulatory Authority, the Florida Office of Financial Regulation, and other federal and state regulators. Our lawyers have represented clients in regulatory enforcement matters involving potential or alleged violations of federal and state securities laws, and industry rules and regulations. We are well versed in the language, regulations, rules, policies, and processes of the government agencies and SROs that enforce these laws and offer clients the experience, insights, and judgment needed to successfully navigate these difficult proceedings.

Representative Matters

  • Investigations and enforcement actions by the SEC, CFTC, FINRA and other government agencies and SROs
  • Inquiries, investigations, and actions by Florida’s Office of Financial Regulation (OFR), Department of Financial Services (DFS), and Attorney General, and similar agencies in other states
  • Regulatory inquires and investigations by other States
  • Internal investigations
  • Disciplinary matters
  • Inquiries and actions by other accrediting organizations like Certified Financial Planner Board ®

Areas of Concentration

  • Securities and Financial Services Litigation
  • Non-compete & Raiding Litigation
  • Partnership Disputes
  • Class Action Litigation
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5 Tips On Horse Buying From An Equine Lawyer

For most horse people, few things are as exciting as purchasing a horse. Unfortunately for some, buying a horse can be a difficult experience– emotions cloud buyer’s judgment, sellers...

5 Tips When Using Waivers in Your Horse Program

By Kimbrell J. Hines, Esq. Interacting with even the most gentle horse always involves some risk—accidents happen.  Horse owners and professionals can help protect their businesses by requiring...

A Lawyer’s Guide to Buying and Selling Horses

As the costs of purchasing and keeping horses continue to rise, so too are the number of lawsuits related to horse sale disputes. For far too many buyers and sellers, what should be an exciting...

WARNING: Posting A Sign Will Not Protect You

At your next visit to a barn or show, look around, and you will probably see at least one "WARNING" sign citing the state's equine law. Aside from Maryland and California, every state has an equine...

Heads Up on Florida Equestrian Helmet Law

By Kimbrell J. Hines, Attorney at Law Florida law requires individuals under the age of 16 to wear a properly fit, securely fastened, American Society of Testing and Materials (ASTM) certified...

So You Wanna Be a Cowboy, Huh?

With the growing popularity of shows like Yellowstone and 1883, there have been an increasing number of people taking an interest in horses and equestrian activities. Here in Florida, before saddling...

TCBG Law Welcomes Kimbrell Hines

TCBG Law expands its law services with the addition of equine attorney and experienced equestrian Kimbrell Hines. Kimbrell Hines focuses her practice on equine law. As an experienced equestrian,...