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Securities Violations

The Mississippi Securities Act prohibits fraud in the offer or sale of securities and white providing investment advice. The Mississippi Secretary of State can:

  • issue cease and desist letters;
  • impose administrative penalties;
  • order restitution; and
  • order disgorgement of profits.


Securities enforcement actions can be filed against the business and its officers, directors, and owners.  Your first notification of an enforcement action is often a Summary Cease and Desist Order and Notice of Intent to Impose Administrative Penalty.

If you are facing an enforcement action, it is important to retain an experienced lawyer. Getting the right legal advice is critical where the alleged violations may expose you to potential civil and criminal liability.


Once the Secretary of State issues its final order, you have the right to file an appeal to the Chancery Court of Hinds County. On appeal, the court can reverse the final order if you prove that: (1) the order was not supported by substantial evidence; (2) the order was arbitrary or capricious; (3) the order was beyond the power of the Secretary of State to make; and/or (4) the order violated your statutory or constitutional rights. If necessary, you can appeal the Chancery Court ruling to the Mississippi Supreme Court.

We can help

The best resolution is often only obtained when you fight the allegations. Where appropriate, we will aggressively challenge each alleged violation.  When possible, we will also work to resolve the allegations quickly.