The Spencer Law Firm handles securities and commercial corporate/partnership litigation, SEC and state securities commission defense, corporate governance and white- collar criminal defense matters in federal, state and regulatory investigations and grand jury testimony preparation. Ms. Spencer has defended high net worth individuals, trusts, officers and directors, sellers and issuers, investment bankers, investment advisers and financial services institutions in SEC, state securities commissions and DOJ inquiries, investigations and prosecution matters. Ms. Spencer has extensive experience in securities litigation on the plaintiff and defense side, securities-related regulatory and internal investigations as well as securities arbitrations.

The Spencer Law Firm can guide its clients through the State Securities Commissions and SEC enforcement process. Few issuers, promoters and organizers realize that it is a felony in Texas and many states to offer and/or sell securities without compliance with state laws. Our lawyers assist with all phases of the investigative process and includes sworn testimony before the SEC, various district attorneys, state commissions and responding to subpoenas, preparing Wells submissions, trial work and appellate cases involving the SEC, the State of Texas and FINRA. It often happens that several additional states or sometimes, all 50 states get involved if the securities sales involve sales in those states and thus familiarity with these various state blue sky laws is necessary. 

Every case is different and The Spencer team work collegially to pool experience and develop strategies. Strategic planning is our métier.  Each action should be carefully thought out and measured recommendations are given to our clients with possible outcomes, advantages and disadvantages. The client makes ultimate decisions after weighing these issues. The Spencer Law Firm works to access the client’s goals and specific problems and exposure and we work to implement their specific objectives.  

Clients turn to us to handle complex problems. Other law firms bring us in for consultations on issues and complicated legal matters because we have the ability to see through the fog and develop clarity for the real issues, solutions and the way out.  From the smallest investor case to Class Action Securities Fraud cases, our lawyers can represent issuers as well as purchasers of securities in class action securities fraud cases. We routinely advise companies on acquisitions and sales issues and handle cases stemming from contests for corporate or partnership control.