SEC investigations, Wells notices, and investor fraud claims demand immediate legal response. Ring AI captures securities law inquiries 24/7, collecting critical details about enforcement actions, investment losses, and compliance concerns so your attorneys can act decisively.
45+ securities law firms using AI intake
Richard T. - Fund Manager
Sunday, 8:45 PM
AI: I understand you have a securities law matter. Can you tell me whether this involves an enforcement action, an investment dispute, or a compliance question?
Richard: I received a Wells notice from the SEC on Friday. They are investigating trading activity in my fund. I have 30 days to respond and I need a securities defense attorney immediately.
AI: A Wells notice is a critical matter requiring immediate expert representation. Your 30-day response window starts now. I am scheduling an emergency consultation with our SEC defense team for tomorrow morning. Do not discuss this matter with anyone or alter any records. I will send a secure link to upload the Wells notice.
From SEC defense to investor recovery, AI handles high-stakes intake with precision
Collects Wells notice details, investigation scope, SEC division involved, document preservation needs, and response deadlines. Advises callers on immediate steps to protect their rights while scheduling emergency consultations.
Screens investment fraud allegations by collecting product details, promised returns, actual losses, broker identity, and evidence of misrepresentation. Identifies Ponzi scheme indicators and unsuitable investment patterns.
Handles customer claims against broker-dealers and industry disputes. Collects claim details, respondent information, loss amounts, and checks the six-year eligibility window for FINRA arbitration proceedings.
Screens securities offering inquiries about Reg A, Reg D, Reg CF, and public offerings. Collects offering size, investor accreditation requirements, and filing timelines for compliance consultation preparation.
We train the AI on your focus: SEC defense, investor recovery, FINRA arbitration, securities offerings, or broker-dealer compliance. Each specialty gets custom intake flows with regulatory-specific questions.
SEC subpoenas, Wells notices, and FINRA actions arrive at any time. Clients facing enforcement need immediate legal guidance. The AI captures every detail and schedules emergency consultations before your competitors even see the inquiry.
Attorneys receive pre-screened securities matters with enforcement details, uploaded notices, response deadlines, and regulatory context. Walk into every initial meeting ready to discuss strategy, not collect basic facts.
Securities law encompasses some of the highest-stakes legal matters in practice. SEC enforcement actions can result in multi-million dollar penalties, industry bans, and criminal referrals. Investor fraud claims involve life savings lost to unscrupulous brokers. Securities offering compliance errors can void entire capital raises. The stakes demand immediate, sophisticated legal response.
Ring AI provides securities law firms with an always-available intake system that understands the regulatory landscape. The AI recognizes Wells notices, SEC examination letters, FINRA complaint notices, and state securities enforcement actions. It knows to ask about document preservation, co-respondents, parallel criminal investigations, and response deadlines. This regulatory literacy means your intake process collects actionable intelligence rather than generic contact information.
For investor-side practices, the AI screens fraud claims by identifying red flags: guaranteed returns, unregistered securities, churning, concentration, margin abuse, and unauthorized trading. It calculates approximate losses, identifies the broker-dealer and registered representative, and determines whether the FINRA six-year eligibility window is still open. This pre-screening helps attorneys focus on cases with genuine merit and recoverable damages.
Securities matters are inherently time-sensitive. Wells notice response periods, FINRA arbitration filing deadlines, and SEC examination response windows all create urgency. Ring AI tracks every deadline, alerts your team about approaching due dates, and ensures that no enforcement matter falls through the cracks because a call came in after hours or over a holiday weekend.
Yes. It collects investigation details, Wells notices, subpoenas, deadlines, and the SEC division involved to route to the appropriate defense attorney.
Absolutely. It gathers investment product details, promised vs. actual returns, broker identity, losses, and identifies potential Securities Act violations and fiduciary duty breaches.
Yes. It collects claim details, respondent info, damages, and checks the six-year eligibility window, differentiating customer claims from industry disputes.
Yes. It screens Reg A, D, CF, and public offering inquiries, collecting offering size, investor types, exemption strategy, and filing timelines.
"When a client receives a Wells notice at 5 PM on Friday, they need to talk to someone who understands the gravity immediately. Ring AI provides that first touchpoint with genuine SEC knowledge. We have signed three major enforcement defense matters from after-hours AI intake this year alone."
Andrew Goldman
Securities Defense Partner, Goldman & Wright LLP
Join 45+ securities law firms capturing enforcement and fraud matters 24/7.
Packages from $499 setup + $99/month