{"id":1042,"date":"2023-03-06T06:51:13","date_gmt":"2023-03-06T06:51:13","guid":{"rendered":"https:\/\/pasquay-legal.com\/aufsichtliche-verfahren-anlegerstreitigkeiten\/"},"modified":"2025-10-13T10:49:26","modified_gmt":"2025-10-13T10:49:26","slug":"aufsichtliche-verfahren-anlegerstreitigkeiten","status":"publish","type":"page","link":"https:\/\/pasquay-legal.com\/en\/aufsichtliche-verfahren-anlegerstreitigkeiten\/","title":{"rendered":"Supervisory proceedings &#038; investor disputes"},"content":{"rendered":"\t\t<div data-elementor-type=\"wp-page\" data-elementor-id=\"1042\" class=\"elementor elementor-1042 elementor-59\" data-elementor-post-type=\"page\">\n\t\t\t\t<div class=\"elementor-element elementor-element-15eb629 e-flex e-con-boxed e-con e-parent\" data-id=\"15eb629\" data-element_type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;}\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t\t\t<div class=\"elementor-element elementor-element-8c9ab94 elementor-widget elementor-widget-heading\" data-id=\"8c9ab94\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<p class=\"elementor-heading-title elementor-size-default\">Supervisory proceedings &amp; investor disputes<\/p>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-b247705 elementor-widget__width-inherit elementor-widget elementor-widget-heading\" data-id=\"b247705\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h1 class=\"elementor-heading-title elementor-size-default\">Supervisory proceedings &amp; investor disputes<\/h1>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-f65e179 elementor-widget__width-inherit elementor-widget elementor-widget-text-editor\" data-id=\"f65e179\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>Proceedings with BaFin, FMA, or other European supervisory authorities rarely proceed routinely. They often begin with a request for information and, in the worst case, end with a reversal order, a prohibition order, or even preliminary investigations on the grounds of alleged unauthorized financial services (\u00a7 32 KWG, \u00a7 15 WpIG, \u00a7 34f GewO).<\/p><p>I represent companies, managers, and sales managers in all phases of such proceedings\u2014nationwide, cross-border, and with many years of experience in numerous regulatory disputes, including in the European context.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-b210504 e-flex e-con-boxed e-con e-parent\" data-id=\"b210504\" data-element_type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;,&quot;shape_divider_top&quot;:&quot;tilt&quot;}\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t\t\t<div class=\"elementor-shape elementor-shape-top\" aria-hidden=\"true\" data-negative=\"false\">\n\t\t\t<svg xmlns=\"http:\/\/www.w3.org\/2000\/svg\" viewBox=\"0 0 1000 100\" preserveAspectRatio=\"none\">\n\t<path class=\"elementor-shape-fill\" d=\"M0,6V0h1000v100L0,6z\"\/>\n<\/svg>\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-ecd5627 elementor-widget__width-initial elementor-widget-tablet__width-initial elementor-widget-mobile__width-inherit elementor-widget elementor-widget-image\" data-id=\"ecd5627\" data-element_type=\"widget\" data-widget_type=\"image.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t\t\t\t<figure class=\"wp-caption\">\n\t\t\t\t\t\t\t\t\t\t<img fetchpriority=\"high\" decoding=\"async\" width=\"969\" height=\"818\" src=\"https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/10\/Run-on-the-Seamens-Savings-Bank-during-the-Panic-of-1857-1.jpg\" class=\"attachment-full size-full wp-image-1599\" alt=\"Excerpt from a historical depiction \u201cRun on the Seamen\u2019s Savings Bank during the Panic of 1857.\u201d\" srcset=\"https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/10\/Run-on-the-Seamens-Savings-Bank-during-the-Panic-of-1857-1.jpg 969w, https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/10\/Run-on-the-Seamens-Savings-Bank-during-the-Panic-of-1857-1-300x253.jpg 300w, https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/10\/Run-on-the-Seamens-Savings-Bank-during-the-Panic-of-1857-1-768x648.jpg 768w\" sizes=\"(max-width: 969px) 100vw, 969px\" \/>\t\t\t\t\t\t\t\t\t\t\t<figcaption class=\"widget-image-caption wp-caption-text\">Excerpt from a historical depiction \u201cRun on the Seamen\u2019s Savings Bank during the Panic of 1857.\u201d<\/figcaption>\n\t\t\t\t\t\t\t\t\t\t<\/figure>\n\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-2bc7d32 e-con-full e-flex e-con e-child\" data-id=\"2bc7d32\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-9030b99 elementor-widget__width-inherit elementor-widget elementor-widget-heading\" data-id=\"9030b99\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Typical case scenarios:<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-fd52965 elementor-align-left elementor-icon-list--layout-traditional elementor-list-item-link-full_width elementor-widget elementor-widget-icon-list\" data-id=\"fd52965\" data-element_type=\"widget\" data-widget_type=\"icon-list.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<ul class=\"elementor-icon-list-items\">\n\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Prohibition orders due to unauthorized investment brokerage, placement, custody business, or distribution without a prospectus<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Rescission orders pursuant to Section 37 of the Securities Trading Act (WpHG), Section 16 of the Investment Act (VermAnlG) or Article 42 of the Prospectus Regulation<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Special audits and requests for information pursuant to Section 44 of the German Banking Act (KWG), Section 89 of the Securities Trading Act (WpHG) or Section 306 of the German Investment Fund Act (KAGB)<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Violations of disclosure requirements, advertising requirements, or PRIIPs rules<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Cross-border proceedings in the event of passporting violations, for example in EEA distribution without valid notification<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t<\/ul>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-2ba27bd elementor-widget elementor-widget-text-editor\" data-id=\"2ba27bd\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>Regulatory defense does not end with the lifting of a measure: In many cases, civil law disputes with investors also ensue\u2014e.g., due to alleged disclosure errors and prospectus errors, inadequate suitability assessments, or incorrect product information (e.g., incomplete PIDs\/KIDs).<\/p><p>In such cases, I will also represent you before the ordinary courts \u2013 objectively, structured, and with a clear focus on economically viable solutions. Thanks to my many years of experience in capital market law and my experience from over 100 product reviews, I am able to develop lines of argumentation that present even complex processes in a legally comprehensible manner.<\/p><p>In addition, I advise on the criminal law implications of regulatory violations, for example in connection with Section 54 of the German Banking Act (KWG) (unauthorized operation of banking or financial services) or Section 119 of the German Securities Trading Act (WpHG). In cooperation with law firms specializing in criminal law, I coordinate all measures closely with you.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-6ef3369 e-con-full e-flex e-con e-child\" data-id=\"6ef3369\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-4fa733f elementor-view-stacked elementor-shape-square elementor-widget elementor-widget-icon\" data-id=\"4fa733f\" data-element_type=\"widget\" data-widget_type=\"icon.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-icon-wrapper\">\n\t\t\t<div class=\"elementor-icon\">\n\t\t\t<i aria-hidden=\"true\" class=\"far fa-lightbulb\"><\/i>\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-137ebe6 e-con-full e-flex e-con e-child\" data-id=\"137ebe6\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-b29935d elementor-widget__width-auto elementor-widget elementor-widget-heading\" data-id=\"b29935d\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<p class=\"elementor-heading-title elementor-size-default\">Proceedings with a supervisory authority or investor lawsuits require diligence, experience, and strategic foresight. <\/p>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-75cd59a elementor-widget__width-inherit elementor-widget elementor-widget-text-editor\" data-id=\"75cd59a\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\tI will take over your defense\u2014in a structured and assertive manner and with a clear understanding of regulatory interfaces and economic targets.\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-074a4c6 e-flex e-con-boxed e-con e-parent\" data-id=\"074a4c6\" data-element_type=\"container\" data-settings=\"{&quot;background_background&quot;:&quot;classic&quot;,&quot;shape_divider_top&quot;:&quot;tilt&quot;}\">\n\t\t\t\t\t<div class=\"e-con-inner\">\n\t\t\t\t<div class=\"elementor-shape elementor-shape-top\" aria-hidden=\"true\" data-negative=\"false\">\n\t\t\t<svg xmlns=\"http:\/\/www.w3.org\/2000\/svg\" viewBox=\"0 0 1000 100\" preserveAspectRatio=\"none\">\n\t<path class=\"elementor-shape-fill\" d=\"M0,6V0h1000v100L0,6z\"\/>\n<\/svg>\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-31f3c89 e-con-full e-flex e-con e-child\" data-id=\"31f3c89\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-fedbff4 elementor-widget__width-inherit elementor-widget elementor-widget-heading\" data-id=\"fedbff4\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Investor proceedings \u2013 professionally defending against civil law disputes<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-152b0f2 elementor-widget elementor-widget-text-editor\" data-id=\"152b0f2\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>Supervisory proceedings \u2013 for example, due to alleged unauthorized investment brokerage or failure to publish a prospectus \u2013 often result in civil disputes with investors. Clients are then suddenly confronted with a multitude of claims for damages based on alleged breaches of disclosure, information, or documentation obligations.<\/p><p>I represent companies, managers, distributors, and intermediaries in all stages of proceedings \u2013 from out-of-court defense and litigation to coordination with liability insurers or D&amp;O providers.\u00a0<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-73f58f3 elementor-widget__width-initial elementor-widget-tablet__width-initial elementor-widget-mobile__width-inherit elementor-widget elementor-widget-image\" data-id=\"73f58f3\" data-element_type=\"widget\" data-widget_type=\"image.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t\t\t\t<figure class=\"wp-caption\">\n\t\t\t\t\t\t\t\t\t\t<img decoding=\"async\" width=\"512\" height=\"359\" src=\"https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/08\/512px-Ferdinand_Bruett_Vor_den_Richtern.jpg\" class=\"attachment-large size-large wp-image-970\" alt=\"Vor den Richtern \u2013 Ferdinand Br\u00fctt (1903)\" srcset=\"https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/08\/512px-Ferdinand_Bruett_Vor_den_Richtern.jpg 512w, https:\/\/pasquay-legal.com\/wp-content\/uploads\/2025\/08\/512px-Ferdinand_Bruett_Vor_den_Richtern-300x210.jpg 300w\" sizes=\"(max-width: 512px) 100vw, 512px\" \/>\t\t\t\t\t\t\t\t\t\t\t<figcaption class=\"widget-image-caption wp-caption-text\">Vor den Richtern \u2013 Ferdinand Br\u00fctt (1903)<\/figcaption>\n\t\t\t\t\t\t\t\t\t\t<\/figure>\n\t\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-cd92015 e-con-full e-flex e-con e-child\" data-id=\"cd92015\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-9003305 elementor-widget__width-inherit elementor-widget elementor-widget-heading\" data-id=\"9003305\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<h2 class=\"elementor-heading-title elementor-size-default\">Typical areas of conflict are:<\/h2>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-f11e535 elementor-align-left elementor-icon-list--layout-traditional elementor-list-item-link-full_width elementor-widget elementor-widget-icon-list\" data-id=\"f11e535\" data-element_type=\"widget\" data-widget_type=\"icon-list.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<ul class=\"elementor-icon-list-items\">\n\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Alleged prospectus errors (e.g., in VIB\/WIB, incomplete risk disclosure, lack of essential information pursuant to Art. 6 et seq. of the Prospectus Regulation)<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Violations of disclosure requirements under Section 63 et seq. WpHG or Section 11 et seq. FinVermV<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Lack of or inadequate suitability and appropriateness assessment (MiFID II)<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Misconceptions about the product structure or term (\"pension insurance\" instead of subordinated loans, etc.)<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t<li class=\"elementor-icon-list-item\">\n\t\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-icon\">\n\t\t\t\t\t\t\t<i aria-hidden=\"true\" class=\"fas fa-circle\"><\/i>\t\t\t\t\t\t<\/span>\n\t\t\t\t\t\t\t\t\t\t<span class=\"elementor-icon-list-text\">Connection to supervisory measures, such as reversal orders or prohibition orders by the BaFin or FMA<\/span>\n\t\t\t\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t<\/ul>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-aab9599 elementor-widget elementor-widget-text-editor\" data-id=\"aab9599\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\tThanks to my specialization in capital market law, I can quickly identify which claims are viable and which are not. This enables me to develop a targeted and structured defense strategy, even in cases involving numerous similar investor claims. Where necessary, I also coordinate settlement strategies to limit operational risks and costs.\n\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-fd704b5 e-con-full e-flex e-con e-child\" data-id=\"fd704b5\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-252dc64 elementor-view-stacked elementor-shape-square elementor-widget elementor-widget-icon\" data-id=\"252dc64\" data-element_type=\"widget\" data-widget_type=\"icon.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t<div class=\"elementor-icon-wrapper\">\n\t\t\t<div class=\"elementor-icon\">\n\t\t\t<i aria-hidden=\"true\" class=\"far fa-lightbulb\"><\/i>\t\t\t<\/div>\n\t\t<\/div>\n\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t<div class=\"elementor-element elementor-element-288063e e-con-full e-flex e-con e-child\" data-id=\"288063e\" data-element_type=\"container\">\n\t\t\t\t<div class=\"elementor-element elementor-element-30623a7 elementor-widget__width-auto elementor-widget elementor-widget-heading\" data-id=\"30623a7\" data-element_type=\"widget\" data-widget_type=\"heading.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<p class=\"elementor-heading-title elementor-size-default\">A solid defense against investor lawsuits starts with a thorough review of the regulatory history.<\/p>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-426c70b elementor-widget__width-inherit elementor-widget elementor-widget-text-editor\" data-id=\"426c70b\" data-element_type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\tI offer you both \u2013 expert legal representation and strategic damage control.\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"<p>Supervisory proceedings &amp; investor disputes Supervisory proceedings &amp; investor disputes Proceedings with BaFin, FMA, or other European supervisory authorities rarely proceed routinely. They often begin with a request for information and, in the worst case, end with a reversal order, a prohibition order, or even preliminary investigations on the grounds of alleged unauthorized financial services [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"elementor_header_footer","meta":{"footnotes":""},"class_list":["post-1042","page","type-page","status-publish","hentry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.1.1 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Supervisory proceedings &amp; investor disputes - Kanzlei Pasquay<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/pasquay-legal.com\/en\/aufsichtliche-verfahren-anlegerstreitigkeiten\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Supervisory proceedings &amp; investor disputes - Kanzlei Pasquay\" \/>\n<meta property=\"og:description\" content=\"Supervisory proceedings &amp; investor disputes Supervisory proceedings &amp; investor disputes Proceedings with BaFin, FMA, or other European supervisory authorities rarely proceed routinely. 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