713-752-0700 713-752-0700

Securities Enforcement

Mr. Ebaugh vigorously defends companies, financial services firms, and their employees in investigations and enforcement proceedings brought by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Texas State Securities Board.  Matters handled by Mr. Ebaugh have involved a broad range of issues, including securities fraud, insider trading, undisclosed outside business activities, private securities transactions, books and records violations, and Form U4 disclosure violations.